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U.S. Regulation of the International Securities and Derivatives Markets, Twelfth Edition

By Edward F. Greene, Alan L. Beller, Edward J. Rosen, Leslie N. Silverman, Daniel A. Braverman, Sebastian R. Sperber, Nicolas Grabar, Adam E. Fleisher
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Book - Looseleaf
$785.00

Book - Looseleaf

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Overview

Dramatic changes in U.S. law have increased the need to understand the complex regulation of today’s global capital and derivatives markets. U.S. Regulation of the International Securities and Derivatives Markets is the first truly comprehensive guide in this dynamic regulatory arena. This Twelfth Edition, Securities Markets was authored by a team of attorneys at Cleary Gottlieb Steen & Hamilton LLP, one of the foremost law firms in international finance.

U.S. Regulation of the International Securities and Derivatives Markets, Securities Markets provides thorough coverage of the SEC Securities Offering Reform rules, the impact of the Dodd-Frank Act and the Sarbanes-Oxley Act on public companies in the United States, and much more.

Advising clients on cross-border securities transactions means dealing with a tangle of complex rules and requirements. This comprehensive reference explains in detail virtually everything your clients might want to know, including:

  • The U.S. securities laws pertaining to foreign participants and financial products entering U.S. capital markets, and U.S. securities in international markets, including a comprehensive discussion of the requirements imposed by the Sarbanes-Oxley Act and the regulatory framework established by the Dodd-Frank Act.
  • The rules and regulations affecting each participant, including foreign banks, broker-dealers, investment companies and advisers, and others
  • The rules and requirements behind different cross-border transactions, including private placements and Rule 144A, ADR programs, the U.S./Canadian MJDS, global offerings, and more
  • Many additional regulatory issues, including enforcement and remedies, recent case interpretations, FINRA and other SRO rules, and much more

U.S. Regulation of the International Securities and Derivatives Markets, Twelfth Edition, is the most comprehensive reference of its kind. This is the only desk reference covering all U.S. laws and regulations affecting international securities offerings and foreign participants in U.S. capital markets. It explains dozens of topics that simply cannot be found in any other published source—saving you valuable research time, you’ll have all the detailed information you need to guide clients through this dramatic new financial era.

Last Updated 05/17/2017
Product Line Wolters Kluwer Legal & Regulatory U.S.
ISBN 9781454887379
SKU 10046760-7777
Table of Contents

U.S. Regulation of the International Securities and Derivatives Markets, Twelfth Edition, Securities Markets

  • Statutory and Regulatory Framework
  • Key Considerations for a Foreign Company Accessing the U.S. Capital Markets for the First Time
  • The U.S. Public Offering Process for Foreign Issuers
  • Foreign Issuer Disclosure in the U.S. Public Securities Market
  • Corporate Governance and Similar Requirements Applicable to Reporting Foreign Private Issuers
  • Certain Requirements Relating to Directors, Officers and Major Shareholders of Foreign Private Issuers that are Public Companies in the United States
  • Private Offerings in the United States by Foreign Issuers
  • Financings Outside the United States
  • Tender Offers, Repurchases of Equity Securities, Liability Management; Business Combinations
  • Selected Practical Issues in Cross-Border Offerings
  • Enforcement of the U.S. Securities Laws
  • Categorization and Regulation of Securities
  • The U.S.-Canadian Multijurisdictional Disclosure System
  • Foreign and Foreign-Owned Broker-Dealers
  • Foreign Investment Companies
  • Foreign and Foreign-Owned Investment Advisers

Table of Cases

Table of SEC Releases

Table of No-Action Letters

Table of Federal Reserve Board Orders

Index

U.S. Regulation of the International Securities and Derivatives Markets, Eleventh Edition

PART ONE

  • Statutory and Regulatory Framework
  • SEC Registration Process for U.S. Public Offerings by Foreign Issuers
  • Foreign Issuer Disclosure in the U.S. Public Securities Market
  • Obligations of Reporting Foreign Issuers and Their Shareholders
  • Private Offerings in the United States by Foreign Issuers
  • Financings Outside the United States
  • Selected Practical Issues in Cross-Border Offerings
  • Selected EU Financial Services Directives on Securities Offerings and Ongoing Reporting
  • Reporting of Large Shareholdings, Tender and Exchange Offers and Business Combinations
  • The U.S.-Canadian Multijurisdictional Disclosure System
  • Enforcement of the U.S. Securities Laws

PART TWO

  • Classification of Securities and Derivative Instruments
  • Key Considerations for Derivatives End Users
  • Foreign and Foreign-Owned Broker-Dealers and Futures Commission Merchants
  • Foreign and Foreign-Owned Swap and Security-Based Swap Dealers
  • Foreign and Foreign-Owned Major Participants in Swaps and Security-Based Swaps
  • Foreign and Foreign-Owned Investment Advisers and Commodity Trading Advisors
  • Foreign Investment Companies and Commodity Pool Operators
  • Major Banking Law Considerations for Banks and Other Financial Companies in the International Securities Business

Table of Cases

Table of SEC Releases

Table of No-Action Letters

Table of Federal Reserve Board Orders

Table of CFTC Interpretative Letters

Index

Volumes