Capital Markets Handbook

Front Cover
John C. Burch, Bruce S. Foerster
Aspen Publishers, Dec 2, 2004 - Law - 1162 pages
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Capital Markets Handbook, Sixth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in major securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, compliance issues, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. The Sixth Edition includes coverage of new developments, including compliance issues such as:
  • New amendments to NASD Rule 2710 ("The Corporate Financing Rule") governing underwriting compensation
  • Updates on PIPE and Registered Direct Transactions
  • Amendments to Rule 10b-18 governing corporate repurchase of equity securities
  • Online Dutch auction procedures in use for the Google, Inc. IPO
  • United Kingdom Financial Service Authority guidance on conflict of interest regarding pricing and allocation issues which have been adopted by one major U.S. investment bank
  • Amendments to Rule 105 Regulation M concerning short selling in connection with public offerings
  • Currency conversion in settlement of a global offering
  • NASD Rule 2790-Restriction on the Purchase and Sale of IPO equity securities
  • NASD IPO Distribution Manager procedures for filing with NASD Corporate Financing
  • Proposed NASD Rule 2712 concerning allocation and distribution of shares in an initial public offering
  • A reorganized compliance chapter in a checklist format designed to ease and enhance CEO and CFO Compliance Certification required by a proposed amendment to NASD Rule 3010 (Supervision) and the adoption of Interpretive Material 3010-1
  • And more
 

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Contents

5 Office of Equal Employment Opportunity EEO 112
1-12
a Office of Financial Management 113
1-13
8 Office of Information Technology 114
1-14
11 Office of International Affairs OIA 115
1-15
13 Office of Legislative and Intergovernmental Affairs OLIA 116
1-16
16 Office of the Secretary 117
1-17
1 Purpose of Registration 119
1-19
2 The Registration Process 120
1-20
SELFREGULATION CONCEPT MAJOR
8-1
Facility 813
8-13
Appendix A Securities Industry ThirdParty Service Providers
A-1
Appendix B Financial Printers
A-9
CreditRatings Agencies
D-1
Appendix E Securities Act of 1933
E-1
Appendix F General Rules and Regulations Promulgated
F-1
A Private Placements Under Rule 144A
F-7

3 Exemptions from Registration 121
1-21
4 Capital Formation Alternatives 122
1-22
5 Filing Fees 128
1-29
UNDERWRITING DOCUMENTATION
2-1
Agreements
2-8
UNDERWRITING AND NEW ISSUE MARKETING
3-1
DEAL PRICING
4-1
and Under T+1 Settlement Convention 428
4-28
FORMS OF NEW ISSUE ALLOCATION
5-1
Underwriters 514
5-14
SETTLEMENT AND DELIVERY
6-1
COMPLIANCE
7-1
Appendix G Securities Exchange Act of 1934
G-1
Appendix H General Rules and Regulations Promulgated
H-1
C Securities Exchange Act of 1934 133
I-1
Appendix J Pertinent NASD Notice to Members
J-1
Appendix K Pertinent Press Releases Reports
K-1
Reserved
K-45
Glossary
GS-1
ServiceMarked Derivative Securities
GS-71
BibliographySuggested Reference Sources
GS-79
Index
IW-1
Copyright

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