Research Handbook on Securities Regulation in the United States by Jerry Markham

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This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. 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.

FORMATHardcover LANGUAGEEnglish CONDITIONBrand New Publisher Description

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 find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.Contributors: B. Black, L.A. Blau, R.C. Campos, P. Evans, J. Fanto, J. Gabilondo, Z.J. Gubler, T.L. Hazen, W.A. Kaal, A.B. Laby, M. Liston, J. MacLeod Heminway, M.Q. Paz

Author Biography

Edited by Jerry W. Markham, Professor of Law, Florida International University College of Law at Miami and Rigers Gjyshi, Senior Compliance Associate, The PNC Financial Services Group, Inc., US

Table of Contents

Contents:Introduction1. OverviewJerry W. Markham2. The Definition of "Security" Under the Federal Securities LawsArthur B. Laby3. The Integrated Disclosure SystemRigers Gjyshi4. Exemptions from 1933 Act RegistrationThomas L. Hazen5. The Underwriting Process and Secondary DistributionZachary J. Gubler6. Secondary MarketsRoel C. Campos and Marlon Q. Paz7. The Rise of Risk-Based Regulatory Capital: Liquidity and Solvency Standards for Financial IntermediariesJosé Gabilondo8. Investment Adviser RegulationWulf A. Kaal9. Corporate Governance and the Regulation of Mergers and AcquisitionsJerry W. Markham and Rigers Gjyshi10. The Sarbanes-Oxley Act of 2002: A Regulatory Hodge-Podge Arising from Highly Visible Financial FraudJoan Macleod Heminway11. Regulation of Derivative InstrumentsJerry W. Markham12. An Overview of Compliance-Related Issues in Broker-Dealer RegulationJames Fanto13. Fraud, Manipulation and Other Prohibited PracticesJerry W. Markham14. The Past, Present and Future of Securities Arbitration Between Customers and Brokerage FirmsBarbara Black15. 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 LitigationLeslie A. Blau, Mark Liston and Peter Evans16. Comparative Analysis of Global Securities RegulationJerry W. MarkhamIndex

Details ISBN1782540067 Publisher Edward Elgar Publishing Ltd ISBN-10 1782540067 ISBN-13 9781782540069 Publication Date 2014-07-25 Pages 576 Language English Year 2014 Format Hardcover Imprint Edward Elgar Publishing Ltd Place of Publication Cheltenham Country of Publication United Kingdom AU Release Date 2014-07-25 NZ Release Date 2014-07-25 UK Release Date 2014-07-25 Author Rigers Gjyshi Series Research Handbooks in Financial Law series Edited by Rigers Gjyshi DEWEY 332.6320973 Audience Postgraduate, Research & Scholarly We've got this

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