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Author:   Jerry Markham ,  Rigers Gjyshi
Publisher:   Edward Elgar Publishing Ltd
Imprint:   Edward Elgar Publishing Ltd
ISBN:  

9781782540069

ISBN 10:   1782540067
Pages:   576
Publication Date:   25 July 2014
Audience:   College/higher education ,  Postgraduate, Research & Scholarly ,  Undergraduate
Format:   Hardback
Publisher's Status:   Active
Availability:   In Print  
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Table of Contents

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 Jose 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

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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

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