Research handbook on securities regulation in the United States / edited by Jerry W. Markham, Rigers Gjyshi.

Format:

Book

Contributor:

Markham, Jerry W., editor.

Gjyshi, Rigers, editor.

Series:

Research handbooks in financial law.

Research Handbooks in Financial Law

Language:

English

Subjects (All):

Securities--United States.

Securities.

Over-the-counter markets--United States.

Over-the-counter markets.

Physical Description:

1 online resource (562 p.)

Place of Publication:

Cheltenham, England ; Northampton, Massachusetts : Edward Elgar, 2014.

Language Note:

English

Summary:

This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process. Scholars and students of financial law, banking and regulatory law will fi

Contents:

Cover; Copyright; Contents; Contributors; Preface; 1. Overview; 2. The definition of "security" under the federal securities laws; 3. The integrated disclosure system; 4. Exemptions from 1933 Act registration; 5. The underwriting process and secondary distributions; 6. Secondary markets; 7. The rise of risk-based regulatory capital: liquidity and solvency standards for financial intermediaries; 8. Investment adviser regulation; 9. Corporate governance and the regulation of mergers and acquisitions

10. The Sarbanes-Oxley Act of 2002: a regulatory hodge-podge arising from highly visible financial fraud11. Regulation of derivative instruments; 12. An overview of compliance-related issues in broker-dealer regulation; 13. Fraud, manipulation and other prohibited practices; 14. The past, present and future of securities arbitration between customers and brokerage firms

15. Private rights of action under U.S. securities laws: key differences between litigation and arbitration of securities disputes, limited right of action against investment advisers, and the uncertain future of class litigation16. Comparative analysis of global securities regulation; Index

Notes:

Includes index.

Description based on print version record.

ISBN:

1-78254-007-5