"Contents" [2014] ELECD 506; in Markham, Jerry; Gjyshi, Rigers (eds), "Research Handbook on Securities Regulation in the United States" (Edward Elgar Publishing, 2014) v

Book Title: Research Handbook on Securities Regulation in the United States

Editor(s): Markham, Jerry; Gjyshi, Rigers

Publisher: Edward Elgar Publishing

ISBN (hard cover): 9781782540069

Section Title: Contents

Number of pages: 2

Extract:

Contents


List of contributors vii
Preface ix

1 Overview 1
Jerry W. Markham
2 The definition of "security" under the federal securities laws 12
Arthur B. Laby
3 The integrated disclosure system 47
Rigers Gjyshi
4 Exemptions from 1933 Act registration 109
Thomas L. Hazen
5 The underwriting process and secondary distributions 156
Zachary J. Gubler
6 Secondary markets 185
Roel C. Campos and Marlon Q. Paz
7 The rise of risk-based regulatory capital: liquidity and solvency
standards for financial intermediaries 201
José Gabilondo
8 Investment adviser regulation 228
Wulf A. Kaal
9 Corporate governance and the regulation of mergers and
acquisitions 244
Jerry W. Markham and Rigers Gjyshi
10 The Sarbanes-Oxley Act of 2002: a regulatory hodge-podge arising
from highly visible financial fraud 282
Joan MacLeod Heminway
11 Regulation of derivative instruments 316
Jerry W. Markham
12 An overview of compliance-related issues in broker-dealer
regulation 348
James Fanto
13 Fraud, manipulation and other prohibited practices 378
Jerry W. Markham




v
vi Research handbook on securities regulation in the United States

14 The past, present and future of securities arbitration between
customers and brokerage firms 412
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 457
Leslie A. Blau, Mark Liston, and Peter Evans
16 Comparative analysis of global securities regulation 488
Jerry W. Markham

Index 517