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米国証券業者協会(SIA)資本市場ハンドブック 第6版

Capital Markets Handbook, 6th Edition

John C. Burch, Jr., Bruce S. Foerster

1 vol. Looseleaf. 2004 to date.(追録年1回)

Aspen Publishers. ISBN: 9780735550322

¥75,350

在庫あり

米国証券業者協会(SIA: Securities Industry Association)の協力のもと編纂された資本市場実務のレファレンス。資本市場業務に従事する投資銀行および発行会社の実務者の卓上レファレンス、又は、トレーニングマニュアルたるを企図して編纂されています。関連する連邦証券、FINRAなどの自主規制機関による法規則条文、用語集、関連機関等の情報を豊富に収録し、引受、発行価格の決定、販売、コンプライアンス事項等の実務について近年の進展を織り込みながら簡明な解釈を加えています。

【Table of Contents】

1. Introduction to the Securities Exchange Commission; Compilation of the Federal Securities Laws, Banking Act of 1933 (Glass-Steagall Act), and Financial Services Modernization Act of 1999 (Gramm-Leach-Bliley Act); Primer on the Federal Reserve

1.01 Overview

1.02 Introduction to the Securities and Exchange Commission

1.03 Compilation of the Federal Securities Laws

1.04 Primer on the Federal Reserve

2. Underwriting Documentation

2.01 Overview

2.02 Underwriting Documents

2.03 Letter of Intent (LOI)

2.04 Distinction between Firm Commitment Underwritings and Best-Efforts Offerings

2.05 Underwriting Agreement

2.06 Agreement among Underwriters (AAU)

2.07 Selected Dealer Agreement (SDA)

2.08 International Tranches

2.09 Competitive Bidding / Evolution of Shelf Registration Offerings

2.10 Canadian Wrapper

3. Underwriting and New Issue Marketing Process

3.01 Overview

3.02 Underwriting Process

3.03 New Issue Marketing Process

3.04 Preliminary Prospectus Delivery and Recirculation / Free Writing Prospectus

3.05 Quiet Period and Offering Reform

3.06 Antecedents of Present Day Corporate Structures, Financing, and Accounting Technique

3.07 Underwriting Custom, Tradition, and History

4. Deal Pricing

4.01 Overview

4.02 Pre-Pricing Lead Manager Housekeeping Items

4.03 Pricing under Rule 430A

4.04 Discussion Points / Negotiating Strategy

4.05 Underwriting Compensation

4.06 Corporate Financing Rule

4.07 Intraday Pricing

4.08 Post-Pricing Housekeeping Items

4.09 Deal Pricing in an After-Hours Trading Environment and Under T+1 Settlement Convention

5. Forms of New Issue Allocation, Distribution, and Aftermarket Trading

5.01 Overview

5.02 Allocation and Confirmation of Underwritten Securities

5.03 Over-Allotment - the "Green Shoe"

5.04 Over-Allotment "Naked Short"

5.05 Trading Restrictions - Regulation M

5.06 Penalty Clauses in the Agreement among Underwriters

5.07 Offering Distribution

5.08 Deal Allocation

5.09 Institutional Pot

5.10 Stabilization

5.11 Passive Market Making

5.12 Shelf Offerings / Bought Deals

5.13 Private Placements under Rule 144A and the PORTAL Market

5.14 Rule 144 - The Sale of Unregistered Securities

5.15 Rule 155 - Limited Safe Harbors from Integration

5.16 Corporate Repurchase of Equity Securities

5.17 On-Line New Issue Dutch Auctions

5.18 Depositary Receipts

6. Settlement and Delivery

6.01 Overview

6.02 Payment, Delivery, and Authority to Borrow

6.03 Market Outs / Calamity Outs

6.04 Termination

6.05 Default

6.06 Settlement with the Issuer

6.07 Settlement with Underwriters

6.08 Settlement with Selected Dealers

6.09 Prospectus Delivery

7. Compliance

7.01 Overview

7.02 NYSE/NASD IPO Advisory Committee Report and Recommendations

7.03 Underwriting Compliance Issues

7.04 Marketing / Research Compliance

7.05 Pricing

7.06 Deal Allocation

7.07 Aftermarket Trading

7.08 Settlement and Delivery

7.09 Other Compliance Issues

8. Self-Regulation Concept, Major Domestic and Selected International Securities Markets, Settlement and Clearing Facilities

8.01 Overview

8.02 Concept

8.03 Industry-Wide Continuing Education

8.04 Insider Trading

8.05 Registration of Exchanges, National Securities Associations, Broker-Dealers, Settlement and Clearing Facilities, and Other Entities

8.06 Domestic Stock and Options Markets and Clearing Facility

8.07 Source Material for Contact Information of Select Securities Industry Entities

9. Appendices

A. Securities Industry Third-Party Service Providers and Securities Industry Publications

B. Financial Printers

C. Tombstone Advertising and Third-Party Service Providers

D. Credit-Ratings Agencies

E. Securities Act of 1933

F. General Rules and Regulations Promulgated Under the Securities Act of 1933

G. Securities Exchange Act of 1934

H. General Rules and Regulations Promulgated Under the Securities Act of 1934

I. Regulation M Promulgated Under the Securities Exchange Act of 1934

J. Pertinent NASD Notice to Members Publications

K. "Global Settlement" Press Release

L. NYSE/NASD IPO Advisory Committee Report and Recommendations

M. Significant Dates in Securities Industry History

Glossary

Service-Marked Derivative Securities

Bibliography / Suggested Reference Sources

Index