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Capital Markets Handbook, Sixth Edition

Capital Markets Handbook, Sixth 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.

Capital Markets Handbook covers the latest developments in securities legislation, and the intricate aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading issues, including regulatory compliance. In addition, it includes an overview of the securities business with extensive and up-to-date contact information, a glossary, and bibliography, and appendices containing the full text of the primary statutes and pertinent regulations.

Summary of Contents

  • Introduction to the Securities and 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
  • Underwriting Documentation
  • Underwriting and New Issue Marketing Processes
  • Deal Pricing
  • Forms of New Issue Allocation, Distribution, and Aftermarket Trading Settlement and Delivery
  • Compliance
  • Self-Regulation Concept, Major Domestic and Selected International Securities Markets, Settlement and Clearing Facilities
  • Glossary
  • Bibliography/Suggested Reference Sources
  • Appendices containing the full text of the primary statutes and regulations
  • A Regulation M matrix to assist in answering questions about trading securities under Regulation M