PDF 2004 Capital Markets Handbook Download
- Author: John C. Burch
- Publisher: Aspen Publishers
- ISBN: 9780735541924
- Category : Business & Economics
- Languages : en
- Pages : 1162
Capital Markets Handbook, Fifth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, information, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. New to the 5th Edition:Post Bubble Policy ReformsNew York State's Martin ActExpanded discussion of preliminary and final prospectus delivery requirementsProposed amendments to the Corporate Financing Rule - NASD Rule 2710Research Analyst Rules - NASD Rule 2711, NYSE Rule 472 & Regulation ACNASD proposed IPO Allocation Rule 2712NASD Proposed New Issue Rules 2790Implentation of Sarbanes-Oxley Act of 2002The 'Global Settlement'NYSE/NASD IPO Advisory Committee Report & RecommendationsProposed Rule 10b-18 'Issuer Repurchase'Bank Tying ArrangementsA reorganized compliance chapter in a check list format Also included in the Fifth Edition:New appendices have been included which include both the SEC Global Settlement Press Release and NYSE/NASD IPO Advisory Committee Report & RecommendationsAn expanded and updated indexUser Friendly format for easier access to information