包邮美国证券发行经典案例教程

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作者：姚承曦

出版社：中国金融出版社

本类榜单：个人理财

分类：个人理财 > 证券/股票

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ISBN：9787504966421
装帧：暂无
册数：暂无
重量：暂无
开本：其它
页数：582
出版时间：2012-11-01
条形码：9787504966421 ; 978-7-5049-6642-1

本书特色

由中国汕头大学商学院姚承曦教授和美国前联邦证券与交易委员会官员David Sirignano合著的Regulation of Securities Offerings and Investment Banking：Cases and Materials for Study in U．S．Securities Act of 1933《美国证券发行经典案例教程》，从金融与监管的角度，系统并突出中国企业特色，介绍了美国证券发行市场的运行机制和监管理论。

内容简介

由中国汕头大学商学院姚承曦教授和美国前联邦证券与交易委员会官员david sirignano合著的regulation of securities offerings and investment banking：cases and materials for study in u．s．securities act of 1933《美国证券发行经典案例教程》，从金融与监管的角度，系统并突出中国企业特色，介绍了美国证券发行市场的运行机制和监管理论。

in pepective：securities and financial regulation
foreword--美国法学者序
foreword--中国经济学者序
summary of contents
table of contents
chapter l securities offerings：registration requirement and exemptions
section 1．1 publicofferings：thedisclosuresystem
1．1．1 overview ofregistration process
1．1．2 ecmh．integrated disclosure system and disparate quality dilemma
1．1．3 ecmh，shelf offering and due diligence dilemma
section 1．2 non-public offerings：traactioexemptfrom registration
1．2．1 section 4(a)(2)exemption for“traactio by an issuer not involving any public offering”
1．2．2 regulation d safe harbor for offering by issuer to accredited and sophisticated investo：integration doctrine
1．2．3 rule 144a safe harbor for 0ffering by non—issuer seller to qualified ititutional buye qibs
1．2．4 section 3(a)(11)intrastate offering exemption for local financing

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作者简介

姚承曦，现任中国广东汕头大学商学院金融与证券监管学教授。姚承曦在美国证券业工作近二十年，包括证券监管部门和证券业界工作经历。历任美国全国证券交易商协会（NASD）法律顾问处律师，纳斯达克股票市场（NASDAQ）国际市场法律顾问，纽约股票交易所（NYSE）券商监管部高级法律顾问，和纽交所国际部亚太地区（包括中国上市公司）和加拿大国家上市公司经理。在业界，姚承曦先后任大型综合型券商公司监察副总裁和资本市场法律顾问；其后在全球*大共同基金集团Fidelity Investments任国际资本市场监管副总裁。姚承曦的监管范围包括：证券零售市场、资本市场、投资管理、美国国内市场和国际市场。姚承曦获美国波士顿学院法学院法学博士学位（Juris Doctor），乔治敦大学法学研究中心金融与证券监管学硕士学位（LLM in Securities and Financial Regulation）。期间获乔治敦优秀研究生奖，及全美法学院国际金融研究奖。此前，姚承曦在中华人民共和国获联合国译员训练班研究生文凭，英美文学硕士学位，及英文本科文凭。姚承曦的英文专著，“Stock Market and Futures Market in the People's Republic of China。”由牛津大学出版社在美国、英国及中国香港发行。 David A. Sirignano，is a partner in the Washington，D.C. office of Morgan Lewis & Bockius LLP，and Co-Head of the firm' s Securities Practice. Mr. Sirignano focuses on international and domestic corporate finance，mergers and acquisitions， and SEC regulation. He currently is a Vice-Chair of the Federal Regulation of Securities Committee of the American Bar Association，and previously was the Chair of the Corporate Reporting and Disclosure Subcommittee of the ABA Committee. He was Co-Chair of the ABA Task Force on Cross Border Offerings and Acquisitions. He has also served on the Corporate Finance Advisory Committee of FINRA. Before joining the firm in 1999，he was Associate Director for International Corporate Finance in the United States Securities and Exchange Commission's Division of Corporation Finance. In that position，he developed SEC policy on cross-border offerings，acquisitions，and listings，including offshore Internet offerings，international disclosure and accounting standards，as well as international corporate governance guidelines. He also advised the SEC Division of Enforcement on financial fraud cases and cross-border offering abuses. Mr. Sirignano was an adjunct professor at Georgetown University Law Center，where he taught the Course on Mergers and Acquisitions.

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