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美國(guó)證券發(fā)行經(jīng)典案例教程 版權(quán)信息
- ISBN：9787504966421
- 條形碼：9787504966421 ; 978-7-5049-6642-1
- 裝幀：暫無(wú)
- 冊(cè)數(shù)：暫無(wú)
- 重量：暫無(wú)
- 所屬分類：>
美國(guó)證券發(fā)行經(jīng)典案例教程 本書特色
由中國(guó)汕頭大學(xué)商學(xué)院姚承曦教授和美國(guó)前聯(lián)邦證券與交易委員會(huì)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(guó)證券發(fā)行經(jīng)典案例教程》，從金融與監(jiān)管的角度，系統(tǒng)并突出中國(guó)企業(yè)特色，介紹了美國(guó)證券發(fā)行市場(chǎng)的運(yùn)行機(jī)制和監(jiān)管理論。
美國(guó)證券發(fā)行經(jīng)典案例教程 內(nèi)容簡(jiǎn)介
由中國(guó)汕頭大學(xué)商學(xué)院姚承曦教授和美國(guó)前聯(lián)邦證券與交易委員會(huì)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(guó)證券發(fā)行經(jīng)典案例教程》，從金融與監(jiān)管的角度，系統(tǒng)并突出中國(guó)企業(yè)特色，介紹了美國(guó)證券發(fā)行市場(chǎng)的運(yùn)行機(jī)制和監(jiān)管理論。
美國(guó)證券發(fā)行經(jīng)典案例教程 目錄
in pepective：securities and financial regulation
foreword--美國(guó)法學(xué)者序
foreword--中國(guó)經(jīng)濟(jì)學(xué)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(guó)法學(xué)者序
foreword--中國(guó)經(jīng)濟(jì)學(xué)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(guó)證券發(fā)行經(jīng)典案例教程 作者簡(jiǎn)介
姚承曦，現(xiàn)任中國(guó)廣東汕頭大學(xué)商學(xué)院金融與證券監(jiān)管學(xué)教授。姚承曦在美國(guó)證券業(yè)工作近二十年，包括證券監(jiān)管部門和證券業(yè)界工作經(jīng)歷。歷任美國(guó)全國(guó)證券交易商協(xié)會(huì)（NASD）法律顧問(wèn)處律師，納斯達(dá)克股票市場(chǎng)（NASDAQ）國(guó)際市場(chǎng)法律顧問(wèn)，紐約股票交易所（NYSE）券商監(jiān)管部高級(jí)法律顧問(wèn)，和紐交所國(guó)際部亞太地區(qū)（包括中國(guó)上市公司）和加拿大國(guó)家上市公司經(jīng)理。在業(yè)界，姚承曦先后任大型綜合型券商公司監(jiān)察副總裁和資本市場(chǎng)法律顧問(wèn)；其后在全球最大共同基金集團(tuán)Fidelity Investments任國(guó)際資本市場(chǎng)監(jiān)管副總裁。姚承曦的監(jiān)管范圍包括：證券零售市場(chǎng)、資本市場(chǎng)、投資管理、美國(guó)國(guó)內(nèi)市場(chǎng)和國(guó)際市場(chǎng)。 姚承曦獲美國(guó)波士頓學(xué)院法學(xué)院法學(xué)博士學(xué)位（Juris Doctor），喬治敦大學(xué)法學(xué)研究中心金融與證券監(jiān)管學(xué)碩士學(xué)位（LLM in Securities and Financial Regulation）。期間獲喬治敦優(yōu)秀研究生獎(jiǎng)，及全美法學(xué)院國(guó)際金融研究獎(jiǎng)。此前，姚承曦在中華人民共和國(guó)獲聯(lián)合國(guó)譯員訓(xùn)練班研究生文憑，英美文學(xué)碩士學(xué)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(xué)出版社在美國(guó)、英國(guó)及中國(guó)香港發(fā)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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