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Vol 21 No 11 Nov/Dec 2016

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This book is now Out of Print.
A new edition has been published, the details can be seen here:
SEC Regulation Outside the United States 6th ed isbn 9781904339953

SEC Regulation Outside the United States 5th ed

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Edited by: Mark Berman

ISBN13: 9781904339540
ISBN: 1904339549
New Edition ISBN: 9781904339953
Published: September 2005
Publisher: Risk Books
Country of Publication: UK
Format: Hardback
Price: Out of print



Now in its fifth extended edition, SEC Regulation Outside the United States is the definitive guide to how the US federal securities laws and the rules and regulations of the SEC apply outside the United States. It is the only publication of its kind in the world. The book explains how and why the SEC asserts jurisdiction outside the United States and provides comprehensive guidance to non-US entities and persons on US securities laws and SEC regulations.

The SEC's new Securities Offering Reforms are the most important development in more than 30 years and are coming into force. The Reforms change significantly the manner in which securities are offered and sold and how to communicate with investors. This book is the only publication of its kind in the world to explore not only how the US federal securities laws and SEC rules and regulations apply outside the United States, but to explain how the Securities Offering Reforms apply to you.

It Additionally covers:-

  • SEC operations
  • registered offers and private placements
  • fund and investment adviser regulation
  • enforcement
  • regulatory relationships
  • broker-dealer regulation and ALM issues
  • cross-border tender offers

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Subjects:
Banking and Finance
Contents:
Introduction
1. The US Federal Securities Laws and the Securities and Exchange Commission
Mark Berman
Threadneedle Asset Management Limited
2. US-Registered Offers
Ottilie L Jarmel
Shearman & Sterling LLP
3. Private Placements, Regulation S and Related Developments
Richard M Kosnik, Gene Kleinhendler
Jones Day; Kleinhendler, Hodak, Halevy, Greenberg & Co.
4. Financial Information: Accounting and Disclosure
Abigail Arms
Shearman & Sterling LLP
5. US/European Cross-Border M&A: Regulatory Framework and Recent Developments;
Scott Simpson
Skadden Arps
6. Fund Managers, Investment Advisers and Funds
Barry P Barbash; Simon FT Cox
Shearman & Sterling LLP; Norton Rose
7. Broker–Dealer Regulation
Mark Berman; Steven F Gatti
Threadneedle Asset Management Limited; Clifford Chance US LLP
8. Developments in International Regulation and Enforcement
Michael D Mann, William P Barry
Richards Spears Kibbe and Orbe
9. Enforcement of US Securities Laws
Colleen P. Mahoney
Skadden Arps LLP