内容

目次

Part I. Introduction to Capital Markets and Securities Regulation 1. Introduction to Financial Markets and Globalization 2. U.S. Capital Markets 3. International Capital Markets 4. Theories of Securities Regulation Part II. Impact of Securities Act of 1933 on the Offer and Sale of Securities 5. Primary and Secondary Offerings: Securities of Domestic Issuers in Domestic Transactions 6. Primary and Secondary Offerings: Securities of Foreign Issuers in Domestic Transactions 7. Primary and Secondary Offerings: Securities of Domestic or Foreign Issuers in Offshore Transactions Part III. Impact of Securities Exchange Act of 1934 on Disclosures to Trading Markets By Certain Issuers and Key Persons 8. Mandatory Disclosure: Securities of Domestic Issuers 9. Foreign Issuers: Registration, Reporting and Other Obligations Under the 1934 Act Part IV. Impact of U.S. Securities Regulation on Broker-Dealers and Other Intermediaries 10. Broker-Dealers and Investment Advisers Part V. Enforcement: Remedies and Sanctions 11. Violations of Registration and Reporting Requirements and Prohibitions Against Fraud