美國證券發(fā)行經(jīng)典案例教程簡(jiǎn)介，目錄書(shū)摘
2021-01-07 14:24
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美國證券發(fā)行經(jīng)典案例教程
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內容簡(jiǎn)介: 由中國汕頭大學(xué)商學(xué)院姚承曦教授和美國前聯(lián)邦證券與交易委員會(huì )官員David Sirignano合著(zhù)的Regulation of Securities Of ferings and Investment Banking：Casesand Materials for Study in U.S. Securities Act of 1933《美國證券發(fā)行經(jīng)典案例教程》，從金融與監管的角度，系統并突出中國企業(yè)特色，介紹了美國證券發(fā)行市場(chǎng)的運行機制和監管理論。誠然，美國資本市場(chǎng)的監管體系不一定全面滿(mǎn)足我國資本市場(chǎng)的需要。然而，知己知彼，百戰不殆。作為全球第二大經(jīng)濟體的中國，要使更多的大型企業(yè)在國際經(jīng)濟領(lǐng)域縱橫捭闔，促進(jìn)更多的中小型企業(yè)成長(cháng)壯大，實(shí)現國民經(jīng)濟持續高速增長(cháng)，高效、健康和多層次的中國資本市場(chǎng)起的作用將舉足輕重。研究和掌握美國資本市場(chǎng)的歷史發(fā)展、運作與管理，乃為期望在國內外資本市場(chǎng)有所作為的我國學(xué)生所必修之課。
作者簡(jiǎn)介: 姚承曦，現任中國廣東汕頭大學(xué)商學(xué)院金融與證券監管學(xué)教授。姚承曦在美國證券業(yè)工作近二十年，包括證券監管部門(mén)和證券業(yè)界工作經(jīng)歷。歷任美國全國證券交易商協(xié)會(huì )（NASD）法律顧問(wèn)處律師，納斯達克股票市場(chǎng)（NASDAQ）國際市場(chǎng)法律顧問(wèn)，紐約股票交易所（NYSE）券商監管部高級法律顧問(wèn)，和紐交所國際部亞太地區（包括中國上市公司）和加拿大國家上市公司經(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Fidelity Investments任國際資本市場(chǎng)監管副總裁。姚承曦的監管范圍包括：證券零售市場(chǎng)、資本市場(chǎng)、投資管理、美國國內市場(chǎng)和國際市場(chǎng)。
姚承曦獲美國波士頓學(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，及全美法學(xué)院國際金融研究獎。此前，姚承曦在中華人民共和國獲聯(lián)合國譯員訓練班研究生文憑，英美文學(xué)碩士學(xué)位，及英文本科文憑。姚承曦的英文專(zhuān)著(zhù)，“Stock Market and Futures Market in the People's Republic of China?！庇膳＝虼髮W(xué)出版社在美國、英國及中國香港發(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.
姚承曦獲美國波士頓學(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，及全美法學(xué)院國際金融研究獎。此前，姚承曦在中華人民共和國獲聯(lián)合國譯員訓練班研究生文憑，英美文學(xué)碩士學(xué)位，及英文本科文憑。姚承曦的英文專(zhuān)著(zhù)，“Stock Market and Futures Market in the People's Republic of China?！庇膳＝虼髮W(xué)出版社在美國、英國及中國香港發(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.
目錄:Basic Objectives ofthe Securities Act of 1933:
Referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:
1.To require that investors receive financial and other significant information concerning securities being offered for public sale; and
2.To prohibit deceit, misrepresentations, and other firaud in the sale of securities.
——The Laws That Govern the Securities Industry: Securities Act of 1933.
Chapter 1. Securities Offerings: Registration Requirementand Exemptions
Chapter 2. Materiality and Civil Liability
Chapter 3. Underwriting and Statutory Underwriter
Chapter 4. Prospectus; Free Writing Prospectus; Illegal Offer
Chapter 5. Innovative Financial Products and Internet Offerings
Referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives:
1.To require that investors receive financial and other significant information concerning securities being offered for public sale; and
2.To prohibit deceit, misrepresentations, and other firaud in the sale of securities.
——The Laws That Govern the Securities Industry: Securities Act of 1933.
Chapter 1. Securities Offerings: Registration Requirementand Exemptions
Chapter 2. Materiality and Civil Liability
Chapter 3. Underwriting and Statutory Underwriter
Chapter 4. Prospectus; Free Writing Prospectus; Illegal Offer
Chapter 5. Innovative Financial Products and Internet Offerings
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