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美國證券發行經典案例教程 版權信息
- ISBN：9787504966421
- 條形碼：9787504966421 ; 978-7-5049-6642-1
- 裝幀：暫無
- 冊數：暫無
- 重量：暫無
- 所屬分類：>
美國證券發行經典案例教程 本書特色
由中國汕頭大學商學院姚承曦教授和美國前聯邦證券與交易委員會官員David Sirignano合著的Regulation of Securities Offerings and Investment Banking：Cases and Materials for Study in U．S．Securities Act of 1933《美國證券發行經典案例教程》，從金融與監管的角度，系統并突出中國企業特色，介紹了美國證券發行市場的運行機制和監管理論。
美國證券發行經典案例教程 內容簡介
由中國汕頭大學商學院姚承曦教授和美國前聯邦證券與交易委員會官員david sirignano合著的regulation of securities offerings and investment banking：cases and materials for study in u．s．securities act of 1933《美國證券發行經典案例教程》，從金融與監管的角度，系統并突出中國企業特色，介紹了美國證券發行市場的運行機制和監管理論。
美國證券發行經典案例教程 目錄
in pepective：securities and financial regulation
foreword--美國法學者序
foreword--中國經濟學者序
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
foreword--美國法學者序
foreword--中國經濟學者序
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
展開全部
美國證券發行經典案例教程 作者簡介
姚承曦，現任中國廣東汕頭大學商學院金融與證券監管學教授。姚承曦在美國證券業工作近二十年，包括證券監管部門和證券業界工作經歷。歷任美國全國證券交易商協會（NASD）法律顧問處律師，納斯達克股票市場（NASDAQ）國際市場法律顧問，紐約股票交易所（NYSE）券商監管部高級法律顧問，和紐交所國際部亞太地區（包括中國上市公司）和加拿大國家上市公司經理。在業界，姚承曦先后任大型綜合型券商公司監察副總裁和資本市場法律顧問；其后在全球最大共同基金集團Fidelity Investments任國際資本市場監管副總裁。姚承曦的監管范圍包括：證券零售市場、資本市場、投資管理、美國國內市場和國際市場。 姚承曦獲美國波士頓學院法學院法學博士學位（Juris Doctor），喬治敦大學法學研究中心金融與證券監管學碩士學位（LLM in Securities and Financial Regulation）。期間獲喬治敦優秀研究生獎，及全美法學院國際金融研究獎。此前，姚承曦在中華人民共和國獲聯合國譯員訓練班研究生文憑，英美文學碩士學位，及英文本科文憑。姚承曦的英文專著，“Stock Market and Futures Market in the People's Republic of China。”由牛津大學出版社在美國、英國及中國香港發行。 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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