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U.S. Regulation of the International Securities and Derivatives Markets
Edward J. Rosen ,
Leslie N. Silverman ,
Daniel A. Braverman , and
Sebastian R. Sperber
Manufacturer: Aspen Publishers
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Binding: Hardcover
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ASIN: 073554218X |
Book Description
Now you can navigate the complex legal world of international securities and derivatives with this all-new fourth edition of an expert guide to today's global financial markets. You'll find clear analysis of the legal framework for all types of cross-border securities offerings by U.S. and non-U.S. issuers - from U.S. registered ADR programs and private offerings to international issues and highly structured instruments.
U.S. Regulation of the International Securities and Derivatives Markets offers authoritative answers to just about any question you'll face on such topics as:
* Recent legal developments affecting foreign access to U.S. capital markets
* The distribution of securities outside the U.S.
* How foreign companies can access U.S. capital markets
* How U.S. regulations affect foreign issuers of securities traded in the U.S.
* New trends in private offerings and the effect of Rule 144A
* How public offerings of securities made abroad can be exempt from registration requirements of the Securities Act
* How the U.S. regulates investment advisors
* How foreign banks and their affiliates doing business with the U.S. are regulated
* How various categories of derivative instruments are classified under U.S. securities and commodities laws
* New initiatives by the SEC, the Federal Reserve Board and the CFTC to facilitate the increasing pace of cross-border activity
* And much more
Customer Reviews:
Very good.......2000-05-31
I have used an earlier edition of this book to get some background for academic work. Very thorough and very clear.
Book Description
New technology has revolutionized the nature and threatened the existence of traditional stock and futures exchanges. This book analyses how they have responded to developments in automation, what strategies they should adopt, and whether their actions both are, and should be a matter of public concern. The operation and management of exchanges in the current competitive environment is studied. Three aspects of their role as providers of trading systems are examined: their governance structures, the way in which they compete and cooperate with each other, and their policies towards the dissemination of prices and quotes. The law and regulation affecting market structure, the governance and self-regulation of exchanges is then identified, interpreted, and evaluated. Finally, some policy recommendations concerning information and competition, and the classification and governance of exchanges are presented. The book applies knowledge, experience, and analytical techniques from the fields of business, economics, law, and regulation. Pre-publication endorsements `Ruben Lee's book provides an impressive analysis of exchanges using all the latest tools of economic theory. The book contains a wealth of interesting material about how exchanges are structured and the problems they face in a changing world. I recommend it very highly to anybody with a theoretical or practical interest in organizations.' Oliver Hart, Andrew E. Furer Professor of Economics, Harvard University `The author contributes a most exhaustive compilation of definitions, functions, and structures of exchanges around the world, from a governance, management, and regulatory perspective. Technological change has made possible the globalization of trading, especially in financial products, and as a consequence the structures of exchanges have become more fluent. This book provides an important reference point on the recent development of exchanges.' Dr Rolf E. Breuer, Chairman of Deutsche Bank and Chairman of Deutsche Borse `Ruben Lee has long been a thoughtful student of securities trading markets. In What is an Exchange? he brings together years of careful research and analysis, extracting from that work many useful insights into the evolving relationship between technology, market structure, and regulation. In doing so he provides helpful guidance towards achieving the Jeffersonian ideal of a 'wise and frugal government' when it comes to striking a balance between regulation and market forces to meet the needs of investors and issuers.' Edward Waitzer, Partner, Stikeman Elliot; Former Chairman, Ontario Securities Commission; Former Chairman, Technical Committee, International Organisation of Securities Commissions. `I highly recommend Dr Ruben Lee's book. The analysis is an intellectual tour de force of the various issues surrounding the business, and regulation, or financial markets and professionals. Dr Lee combines organization theory, securities law, microeconomics, and information theory in order to separate the essential from the superficial. Moreover, as a former trader himself, his work reflects the institutional trading practices which are crucial to understanding markets. Finally, all of this erudition is placed within a global comparative framework. Indeed, even when I disagree with him, Dr Lee makes me think he might be right.' Brandon Becker, Partner, Wilmer, Culter and Pickering; Adjunct Professor, Georgetown University Law Center; Former Director, Division of Marketing Regulation, U. S. Securities and Exchange Commission `Deregulation and technology is rapidly changing the nature and functioning of investment exchanges. Increasing competition forces what have long been protected national member-driven institutions to become professionally managed businesses. The trend among European exchanges is to demutualise, operate for profit and even strive for public listing. This comprehensive theoretical and empirical study covers a large number of relevant aspects on the ongoing structural changes of the investment exchange industry. The book is extremely valuable for all those concerned with the behaviour, organisation, management and regulation of exchanges now and in the coming years.' Bengt Ryden, Chairman of Stockholm Exchanges, Former President of the Federation International des Bourse de Valeurs (International Federation of Stock Exchanges)
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Transparency and Fragmentation: Financial Market Regulation in a Dynamic Environment
John Board ,
Charles Sutcliffe , and
Stephen Wells
Manufacturer: Palgrave Macmillan
ProductGroup: Book
Binding: Hardcover
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ASIN: 0333986342 |
Book Description
This is the first major treatment of the effects of increased transparency on financial markets: an important and highly controversial issue for both traders and regulators. Focussing on three main themes - market transparency, the consolidation-fragmentation of trading systems, and the scope of regulation (i.e. which markets, and which traders within those markets, should be subject to regulation), the book highlights the importance of these issues to all markets throughout the world. The authors draws on research from eight UK-based investment exchanges, Deutsche Borse in Frankfurt, and documentary evidence from the US markets and their regulators.
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The Structure and Regulation of Financial Markets
Peter D. Spencer
Manufacturer: Oxford University Press, USA
ProductGroup: Book
Binding: Paperback
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ASIN: 0198776101 |
Book Description
Aimed at advanced undergraduate and graduate students in economics, banking, and finance, this is a core textbook for the financial markets, institutions, and regulation option of courses in financial economics. It integrates modern theories of asymmetric information into the analysis of financial institutions, relating the theory to current developments. The text begins with an analysis of adverse selection in retail financial products like life assurance before looking at open capital markets where trades and prices provide information. It then progresses to the more complex areas of corporate governance and financial intermediation in which information is confidential and moral hazard and verification problems become important. These chapters study the various mechanisms that the financial markets have developed to allow investors to delegate the management of their assets to others. This analysis is used to show how regulation can reduce the risk of financial failure and how legal, accounting, and regulatory mechanisms can help shape a country's corporate and financial architecture. These difficult theoretical concepts are conveyed through the careful use of numerical illustrations and topical case studies. Each chapter ends with a set of exercises to test and reinforce students' comprehension of the material. Worked solutions are provided for the numerical exercises.
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The Economics and Regulation of Financial Privacy: An International Comparison of Credit Reporting Systems (Contributions to Economics)
Nicola Jentzsch
Manufacturer: Physica-Verlag Heidelberg
ProductGroup: Book
Binding: Paperback
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ASIN: 3790817376 |
Book Description
This book provides the first in-depth analysis of the economics and regulation of financial privacy. It is an international comparison of credit reporting systems in the United States and in European countries. On the theoretical level the book explains competition in information markets, especially in markets for goods made of highly personal and sensitive information. It reviews the microeconomics of information and privacy and discusses the economic incentives to disclose or to conceal information. The book also focuses on the institutions of credit reporting, the history of credit reporting agencies and the regulation of privacy and credit reporting on both sides of the Atlantic as well as internationally. Finally, on the empirical level, it reviews the microeconomic and potential macroeconomic effects of credit reporting in the credit markets of countries around the world.
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Competition in Energy Markets: Law and Regulation in the European Union
Peter Duncanson Cameron
Manufacturer: Oxford University Press, USA
ProductGroup: Book
Binding: Hardcover
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ASIN: 0198257708 |
Book Description
Recent years have seen a major growth in the European law concerning the operation of the energy industry, especially with respect to electricity and gas. Several directives have been adopted that are aimed at the promotion of competition in this key sector of the European economy. At the same time, the jurisprudence of the European Court had developed further on matters such as access to networks, import and export monopolies and security of supply. In this book the authors examine the principal legislation, Treaty provisions and decisions of the Court of Justice and Court of First Instance of the EU as they related to the promotion of competition in European energy markets. In particular, two chapters are devoted to a detailed analysis of the provisions of the two directives that set out common rules for the creation of an internal market in the electricity and gas sectors. In each case, the analysis is set in the context of the various programmes of energy market liberalization and privatization in the Member States, which are summarized in this book. However, the authors also take the wider pan-European context into account, explaining the requirements and the implications of the European Economic Area Agreement, the Energy Charter Treaty and the Europe Agreements with countries of Central and Eastern Europe. The approach adopted by the authors is both analytical and historical. They locate the legislation in the context of the EU Internal Market programme that began in the late 1980s and explain the roles played by the various parties (energy industries, consumers and EU institutions) in shaping the final legislation. Importantly, they explain how the framework character of the energy directives has led to further important rule-making in the implementation of the directives across the EU. They conclude that a co-ordinated response between the European Commission and the national regulators will be essential to resolve problems arising in the transition to a competitive energy market in the EU.
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Capital Markets in the Age of the Euro - Cross-Border Transactions, Listed Companies and Regulation
Ferrarini ,
Hopt , and
Wymeerscj
Manufacturer: Kluwer Law International
ProductGroup: Book
Binding: Hardcover
General
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ASIN: 9041117377 |
Book Description
The integration of European --indeed, global--capital markets has been under way for quite some time. However, the adoption of the single European currency crystallises the process, solving many old problems at the same time as it creates new challenges. In this wide-ranging book, 28 notable practitioners and academics -- including economists, regulators, and lawyers -- pool their prodigious resources to analyse the current and future issues affecting investment, conduct of business rules, stock exchanges, trading, and company law. Originally designed as a research project, this finished work was developed from individual research and first drafts through group discussion to a final interconnected achievement. Since the authors met at a conference in Genoa in November 2000 on the initiative of four major European law faculties, a number of pertinent regulatory developments have taken place, notably the Lamfalussy Report and the adoption of various proposals by the European Commission. Analysis of the impact of such recent and ongoing events has been incorporated into this final text. Among other significant matters affecting capital markets, the authors discuss the following: + conflict of laws issues; + on-line trading; + clearing and settlement systems; + takeovers; and + relevant soft law. As an authoritative guide to the likely development of investment practices, regulatory measures, and financial and company law in the coming years, this volume is unmatched for its penetrating analysis and prognosis. No investor, company lawyer, or regulator can afford to leave it unexamined.
Book Description
On the one hand, it can be argued that the increasing economic and political interdependence of countries has led to the convergence of national legal systems. On the other hand, advocates of the counterhypothesis maintain that this development is both unrealistic and unnecessary. Mathias Siems examines the company law of the UK, the USA, Germany, France, Japan and China to see how this issue affects shareholder law. The author subsequently analyses economic and political factors which may or may not lead to convergence, and assesses the extent of this development. Thus, Convergence of Shareholder Law not only provides a thorough comparative legal analysis but also shows how company law interconnects with political forces and economic development and helps in evaluating whether harmonisation and shareholder protection should be enhanced.
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Corporations, Capital Markets and Business in the Law
Richard Buxbaum
Manufacturer: Kluwer Law International
ProductGroup: Book
Binding: Hardcover
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ASIN: 9041113541 |
Book Description
This Liber Amicorum is written in honour of Richard M. Buxbaum to celebrate his seventieth birthday. The book pays tribute to his writings, teachings, editorial and administrative work, which have contributed immensely to the development of the international legal order. The contributions are from international experts in the field of commercial and economic law, corporate law, intellectual property and business law, and give an interesting and valuable account of current economic trends and academic thinking.
Book Description
Recently published figures predict that the number of employed individuals between the ages of 55 and 64 will increase by 11 million by 2002; on average, today's 65-year-old can expect to live to 83, reflecting general trends in increased health and longevity. As the huge cadre of baby boomers approaches traditional retirement age, such factors as financial security, health benefits, and the attractiveness of staying active in later years are encouraging more older people to work well into their 60s, 70s, and even 80s, while businesses are learning to anticipate their long-term employment needs, and facing potential labor shortages unless they hold onto and develop more older workers. The economic, political, and cultural implications of these trends will reach staggering proportions, changing the make-up of organizations large and small and the very nature of work and our attitudes toward it. The Older Worker Advantage tackles these issues head on, taking into account both the organization's/manager's point of view and the older employee's point of view. Gordon Shea and Adolf Haasen analyze data from a wide variety of sources, including international comparisons, to explore the phenomenon of older workers in depth, dispelling common myths that contribute to age discrimination, and reinforcing the relevance of such qualities as life experience and communication skills for today's knowledge-driven enterprises. The authors showcase the pioneering efforts of such organizations as the Vita Needle Company, AES Corporation, and the U.S. Coast Guard, among others, in establishing programs and practices that develop older worker skills and support multigenerational collaboration--to the benefit of both individuals and the organization. In the process, they consider such timely topics as: *what motivates older workers; *the impact of technology on older worker training; *creating diverse project teams; *an emerging breed of managers attuned to older worker requirements and capabilities. Featuring diagnostic exercises, an appendix on legal protections for older workers, and specific tools for enhancing productivity and positive work environments, The Older Worker Advantage will be an essential resource for business owners and executives, managers, older employees, trainers, counselors, policymakers, educators, and students--anyone concerned with the profound changes in our workforce and its effects on young and old alike.
Customer Reviews:
a sociological view of childbirth.......2000-04-15
This book is must-reading for those interested in feminist issues pertaining to women's health in general and childbirth in particular. This book is pro-midwive, pro-natural birth, and pro-consumerism. A most interesting history of maternity care is included. If you've every wondered how we got so far away from natural birth, this book is for you.
Average customer rating:
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Mindsteps to the Cosmos
Gerald S. Hawkins
Manufacturer: Harpercollins
ProductGroup: Book
Binding: Hardcover
Astronomy
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Solar System
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ASIN: 0060151560 |
Book Description
Mindsteps to the Cosmos shows how modern global civilization depends on giant leaps of understanding that have been made in the past. Science and technology have been inspired and formulated by the sky — the cosmos in which we live. Human development could not have taken place on a cloud-shrouded planet. Mathematics was invented to track the movements of the sun, moon and stars even though back then these were thought to be gods. The space program has taken us beyond the earth, and satellite systems are exploring to the ends of the visible universe. This book provides the reader with algorithms to construct personal computer programs for finding the position of the moon and planets, and for calculating dates through historic periods in the Egyptian as well as the old and new style calendars.
Product Description
Mindsteps to the Cosmos shows how modern global civilization depends on giant leaps of understanding that have been made in the past. Science and technology have been inspired and formulated by the sky the cosmos in which we live. Human development could not have taken place on a cloud-shrouded planet. Mathematics was invented to track the movements of the sun, moon and stars even though back then these were thought to be gods. The space program has taken us beyond the earth, and satellite systems are exploring to the ends of the visible universe. This book provides the reader with algorithms to construct personal computer programs for finding the position of the moon and planets, and for calculating dates through historic periods in the Egyptian as well as the old and new style calendars.
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- Understanding Those Financial Reports
- Venture Capital: A Euro-System Approach
- Why Smart People Make Big Money Mistakes And How To Correct Them: Lessons From The New Science Of Behavioral Economics
- Wiley Gaap 97: Interpretation of Generally Accepted Accounting Principles for Windows
- Working Papers, Volume I, Chapters 1-12 to accompany Accounting Principles (Working Papers)
- 1998 Aace International Transactions
- 2000 Miller Electronic Commerce Assurance Services: Electronic Paper and Reference Guide
- 2001 Miller International Accounting Standards Guide
- 2001 Retirement Plans for Not-for-Profit Organizations: A Practical Guide to Cost-Effective Retirement Planning for Nonprofits
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