Research Handbook on Securities Regulation in the United States

Edited by Jerry W. Markham, Professor of Law, Florida International University College of Law at Miami and Rigers Gjyshi, Senior Compliance Associate, The PNC Financial Services Group, Inc., US

• Contents:Introduction1. Overview Jerry W. Markham 2. The Definition of “Security” Under the Federal Securities Laws Arthur B. Laby3. The Integrated Disclosure System Rigers Gjyshi4. Exemptions from 1933 Act Registration Thomas L. Hazen5. The Underwriting Process and Secondary Distribution Zachary J. Gubler6. Secondary Markets Roel C. Campos and Marlon Q. Paz7. The Rise of Risk-Based Regulatory Capital: Liquidity and Solvency Standards for Financial Intermediaries José Gabilondo8. Investment Adviser Regulation Wulf A. Kaal9. Corporate Governance and the Regulation of Mergers and Acquisitions Jerry W. Markham and Rigers Gjyshi10. The Sarbanes-Oxley Act of 2002: A Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud Joan Macleod Heminway11. Regulation of Derivative Instruments Jerry W. Markham12. An Overview of Compliance-Related Issues in Broker-Dealer Regulation James Fanto13. Fraud, Manipulation and Other Prohibited Practices Jerry W. Markham14. The Past, Present and Future of Securities Arbitration Between Customers and Brokerage Firms Barbara Black15. Private Rights of Action Under U.S. Securities Laws: Key Differences between Litigation and Arbitration of Securities Disputes, Limited Right of Action Against Investment Advisers, and the Uncertain Future of Class LitigationLeslie A. Blau, Mark Liston and Peter Evans16. Comparative Analysis of Global Securities Regulation Jerry W. MarkhamIndex