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美国证券交易经典案例教程 英文【2025|PDF|Epub|mobi|kindle电子书版本百度云盘下载】

美国证券交易经典案例教程 英文
  • 姚承曦，DavidA.Sirignano著 著
  • 出版社： 北京：中国金融出版社
  • ISBN：9787504962874
  • 出版时间：2012
  • 标注页数：388页
  • 文件大小：20MB
  • 文件页数：401页
  • 主题词：证券交易－案例－美国－教材

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图书目录

CHAPTER 1 REGULATORY STRUCTURE1

Section 1.1 Competition and Regulation:The SEC and the CFTC1

1.1.1 Futures and Options on "Government Securities": Securities or Commodity?1

1.1.2 Index Participations:Securities or Futures?4

1.1.3 Futures and Options on Single Stock and on Stock Indexes:Securities,Futures,Security Futures21

Section 1.2 Regulation of Financial Gatekeepers24

1.2.1 Auditor Independence and Oversight by PCAOB Board24

1.2.2 Credit Rating Agency NRSRO Designation42

Section 1.3 Securities Industry Self-Regulation54

1.3.1 Concept of "Statutory Supervisor"54

1.3.2 The Shingle Theory76

1.3.3 Suitability Doctrine:Application to Online Brokerage82

CHAPTER 2 MARKET STRUCTURE83

Section 2.1 Exchange Markets,OTC Markets,and Customer DMA84

2.1.1 NASDAQ Competing Dealers Model;NYSE Hybrid Auction Model;HFT Liquidity Model84

2.1.2 ATSs and Concept of "Exchange"99

2.1.3 OTC Markets for Non-Listed Equities:OTCBB and Pink Sheets119

2.1.4 Customer Direct Market Access to Exchanges and ATSs120

2.1.5 Multiple Trading of Standardized Options in Listed Stocks121

Section 2.2 National Market System:Market Competition and Order Competition125

2.2.1 Concept of "Best Execution"125

2.2.2 Concept of "Customer Order Protection"137

2.2.3 The NMS System:Transparency,Competition,Fairness,Efficiency138

2.2.4 Inter-Market Surveillance for Cross-Market Trading Activities154

CHAPTER 3 PUBLIC COMPANY TRANSPARENCY159

Section 3.1 Periodic Reporting and Other Disclosure by Public Company159

3.1.1 Periodic Reports by China-Based US Public Company＆IFRS as Global Accounting Standards159

3.1.2 US Public Company Doing Business in China＆Foreign Corrupt Practices Act166

3.1.3 Issuer Selective Disclosure＆Regulation FD(Fair Disclosure)177

Section 3.2 Mandatory Disclosure by Certain Shareholders193

3.2.1 Potential for Corporate Control:Disclosure by 5％ Threshold Beneficial Owner193

3.2.2 Decoupling by Derivatives:Who Is "Beneficial Owner"?195

CHAPTER 4 PROPHYLACTIC REGULATION OF MANIPULATION221

Section 4.1 Manipulation in Financial Markets221

4.1.1 Concept of Manipulation221

4.1.2 Market Gaming by NBBO Manipulation222

Section 4.2 Transactions for Corporate Control222

4.2.1 Tender Offer:All-Holders and Best-Price Requirements222

4.2.2 Takeover Battle:What Is Tender Offer?240

Section 4.3 Trading during Securities Distribution253

4.3.1 Short Sale Restriction in Advance of Follow-on/Secondary Offering253

4.3.2 Market Making Restriction259

Section 4.4 Short Selling259

4.4.1 Prohibition of Manipulative Naked Short Selling259

4.4.2 Regulation of Short Sale:Order Marking;Locate;Circuit Breaker;Close-Out268

CHAPTER 5 FRAUD IN CONNECTION WITH THE PURCHASE OR SALE OF A SECURITY281

Section 5.1 Insider Trading Liability Theories281

5.1.1 Classical Theory of Insider Trading Liability281

5.1.2 Tipper-Tippee Liability Theory;Temporary Insider Concept302

5.1.3 Misappropriation Theory;Prophylactic Prohibition Theory328

Section 5.2 Private Damages Action for Fraud351

5.2.1 Elements of Private Securities Fraud Action;Theory of Economic Loss351

5.2.2 In Pari Delicto Doctrine(Equal Fault Concept)359

Section 5.3 Transnational Securities Fraud in Globalized Securities Market373

5.3.1 Reach of US Insider Trading Law Enforcement373

5.3.2 Limit on Extraterritorial Application of US Securities Laws to Foreign-Cubed Private Action384

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