Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as:
New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensationUpdates on PIPE and Registered Direct TransactionsAmendments to Rule 10b-18 governing corporate repurchase of equity securitiesOnline Dutch auction procedures in use for the Google, Inc. IPOUnited Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bankAmendments to Rule 105 Regulation M concerning short selling in connection with public offeringsCurrency conversion in settlement of a global offeringNASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securitiesNASD IPO Distribution Manager procedures for filing with NASD Corporate FinancingProposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offeringA reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1And more
- Introduction to the Securities Exchange Commission; Compilation of the Federal Securities Laws, Banking Act of 1933 (Glass-Steagall Act), and Financial Services Modernization Act of 1999 (Gramm-Leach-Bliley Act); Primer on the Federal Reserve
- Underwriting Documentation
- Underwriting and New Issue Marketing Process
- Deal Pricing
- Forms of New Issue Allocation, Distribution, and Aftermarket Trading
- Settlement and Delivery
- Compliance
- Self Regulation Concept, Major Domestic and Selected International Securities Markets, Settlement and Clearing Facilities, and Selected Entities Interfacing with the Securities Industry
- Appendices
| Regulation of Securities: SEC Answer Book, Fourth Edition
Steven Mark Levy
Regulation of Securities: SEC Answer Book, Fourth Edition is your complete guide to understanding and complying with the day-to-day requirements of the federal securities laws that affect all public companies. Using a question-and-answer format similar to that which the SEC has embraced, thi more... |
| | | | Price: $509.00 | | | ISBN: 9781454805434 | | | Format: Looseleaf | | Imprint: Aspen Publishers |
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