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Research Handbook on Securities Regulation in the United States

Edited by Jerry W. Markham, Professor of Law, Florida International University at Miami and Rigers Gjyshi, Senior Compliance Associate, The PNC Financial Services Group, Inc., US
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.
Extent: 576 pp
Hardback Price: $240.00 Web: $216.00
Publication Date: 2014
ISBN: 978 1 78254 006 9
Availability: In Stock
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  • Economics and Finance
  • Financial Economics and Regulation
  • Law - Academic
  • Finance and Banking Law
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,













Contents:

Introduction

1. Overview
Jerry W. Markham

2. The Definition of “Security” Under the Federal Securities Laws
Arthur B. Laby

3. The Integrated Disclosure System
Rigers Gjyshi

4. Exemptions from 1933 Act Registration
Thomas L. Hazen

5. The Underwriting Process and Secondary Distribution
Zachary J. Gubler

6. Secondary Markets
Roel C. Campos and Marlon Q. Paz

7. The Rise of Risk-Based Regulatory Capital: Liquidity and Solvency Standards for Financial Intermediaries
José Gabilondo

8. Investment Adviser Regulation
Wulf A. Kaal

9. Corporate Governance and the Regulation of Mergers and Acquisitions
Jerry W. Markham and Rigers Gjyshi

10. The Sarbanes-Oxley Act of 2002: A Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud
Joan Macleod Heminway

11. Regulation of Derivative Instruments
Jerry W. Markham

12. An Overview of Compliance-Related Issues in Broker-Dealer Regulation
James Fanto

13. Fraud, Manipulation and Other Prohibited Practices
Jerry W. Markham

14. The Past, Present and Future of Securities Arbitration Between Customers and Brokerage Firms
Barbara Black

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 Litigation
Leslie A. Blau, Mark Liston and Peter Evans

16. Comparative Analysis of Global Securities Regulation
Jerry W. Markham

Index