Capital Markets HandbookJohn C. Burch, Bruce S. Foerster Capital Markets Handbook, 3rd Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. This single volume reference is user-friendly and an ideal reference for those who are new to capital markets as well as for those who already have had an introduction to this dynamic field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, information, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. Capital Markets Handbook, 3rd Edition includes the following new topics: New Issue Marketing Process Rule 155 - Limited Safe Harbors from Integration Depositary Receipts Guidelines for Initiating Stabilization Registered Direct Offerings, Regulation D Offerings, and Regulation S Offerings Settlement with Selected Dealers Antecedents of Present Day Corporate Structure, Financing, and Accounting Techniques New Appendix: SIA Best Practices for Research |
Contents
INTRODUCTION TO THE SECURITIES | 1 |
11 Office of Equal Employment Opportunity EEO | 9 |
14 Office of the General Counsel | 10 |
Copyright | |
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Common terms and phrases
action amended amount application appropriate regulatory agency broker or dealer broker or government broker/dealer capital clearing agency Commission court curities deemed disclosure distribution effective equity securities exemption Federal Reserve Federal Reserve System fees filed firm government securities broker government securities dealer hot issues institutional Interpretation investment banking Investment Company Act lead manager limited partnership market maker ment municipal securities dealer NASD Regulation Nasdaq national securities exchange necessary or appropriate offering price paragraph participant passive market penny stock percent period person associated plaintiff prior prospectus protection of investors public interest public offering purchase purposes registration statement respect restricted person rule or regulation rules and regulations Securities Act security holders self-regulatory organization specified stabilizing bid subparagraph subsection Sullivan and Cromwell syndicate tender offer term thereof tion trading transaction underwriting unit investment trust United States Code violation