- 作 者：姚承曦，DavidA.Sirignano著
- 出 版 社：北京：中国金融出版社
- 出版年份：2012
- ISBN：9787504962874
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CHAPTER 1 REGULATORY STRUCTURE 1
Section 1.1 Competition and Regulation:The SEC and the CFTC 1
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 Futures 21
Section 1.2 Regulation of Financial Gatekeepers 24
1.2.1 Auditor Independence and Oversight by PCAOB Board 24
1.2.2 Credit Rating Agency NRSRO Designation 42
Section 1.3 Securities Industry Self-Regulation 54
1.3.1 Concept of "Statutory Supervisor" 54
1.3.2 The Shingle Theory 76
1.3.3 Suitability Doctrine:Application to Online Brokerage 82
CHAPTER 2 MARKET STRUCTURE 83
Section 2.1 Exchange Markets,OTC Markets,and Customer DMA 84
2.1.1 NASDAQ Competing Dealers Model;NYSE Hybrid Auction Model;HFT Liquidity Model 84
2.1.2 ATSs and Concept of "Exchange" 99
2.1.3 OTC Markets for Non-Listed Equities:OTCBB and Pink Sheets 119
2.1.4 Customer Direct Market Access to Exchanges and ATSs 120
2.1.5 Multiple Trading of Standardized Options in Listed Stocks 121
Section 2.2 National Market System:Market Competition and Order Competition 125
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,Efficiency 138
2.2.4 Inter-Market Surveillance for Cross-Market Trading Activities 154
CHAPTER 3 PUBLIC COMPANY TRANSPARENCY 159
Section 3.1 Periodic Reporting and Other Disclosure by Public Company 159
3.1.1 Periodic Reports by China-Based US Public Company＆IFRS as Global Accounting Standards 159
3.1.2 US Public Company Doing Business in China＆Foreign Corrupt Practices Act 166
3.1.3 Issuer Selective Disclosure＆Regulation FD(Fair Disclosure) 177
Section 3.2 Mandatory Disclosure by Certain Shareholders 193
3.2.1 Potential for Corporate Control:Disclosure by 5％ Threshold Beneficial Owner 193
3.2.2 Decoupling by Derivatives:Who Is "Beneficial Owner"? 195
CHAPTER 4 PROPHYLACTIC REGULATION OF MANIPULATION 221
Section 4.1 Manipulation in Financial Markets 221
4.1.1 Concept of Manipulation 221
4.1.2 Market Gaming by NBBO Manipulation 222
Section 4.2 Transactions for Corporate Control 222
4.2.1 Tender Offer:All-Holders and Best-Price Requirements 222
4.2.2 Takeover Battle:What Is Tender Offer? 240
Section 4.3 Trading during Securities Distribution 253
4.3.1 Short Sale Restriction in Advance of Follow-on/Secondary Offering 253
4.3.2 Market Making Restriction 259
Section 4.4 Short Selling 259
4.4.1 Prohibition of Manipulative Naked Short Selling 259
4.4.2 Regulation of Short Sale:Order Marking;Locate;Circuit Breaker;Close-Out 268
CHAPTER 5 FRAUD IN CONNECTION WITH THE PURCHASE OR SALE OF A SECURITY 281
Section 5.1 Insider Trading Liability Theories 281
5.1.1 Classical Theory of Insider Trading Liability 281
5.1.2 Tipper-Tippee Liability Theory;Temporary Insider Concept 302
5.1.3 Misappropriation Theory;Prophylactic Prohibition Theory 328
Section 5.2 Private Damages Action for Fraud 351
5.2.1 Elements of Private Securities Fraud Action;Theory of Economic Loss 351
5.2.2 In Pari Delicto Doctrine(Equal Fault Concept) 359
Section 5.3 Transnational Securities Fraud in Globalized Securities Market 373
5.3.1 Reach of US Insider Trading Law Enforcement 373
5.3.2 Limit on Extraterritorial Application of US Securities Laws to Foreign-Cubed Private Action 384