Banking And Securities

Securities Law Outline Choi Spring 2006 1Introduction1 1.IThe basics1 1.IITypes of Securities1 1.II.ACommon Stock2 1.II.BPreferred Stock2 1.II.CBonds3 1.IIICapital trade3 1.III.APrimary Market transactions3 1.III.BSecondary Market Transactions4 1.III.B.1Securities shifts4 1.III.B.2Nasdaq5 1.III.B.3ECNs5 1.IV investment Decisions5 1.IV.A posit Discount Valuation5 1.IV.A.1Interest5 1.IV.A.2Present Value6 1.IV.BWhat Risks Matter6 1.VWho Provides Investor culture6 1.V.AIncentives to Provide Information6 1.V.B bank line for mandatary Disclosure7 1.V.B.1Coordination Problems7 1.V.B.2Agency Costs7 1.V.B.3Positive Externalities7 1.V.B.4Duplicative Information Research8 1.V.B.5Costs of Mandatory Disclosure8 1.V.CHow does information disclosure matter?8 1.V.C.1Filtering Mechanisms8 1.V.C.2Efficient Capital Market Hypothesis8 1.V.C.2.a bleached ECMH8 1.V.C.2.bSemi-Strong ECMH8 1.V.C.2.cStrong ECMH8 1.V.C.2.dImplications of ECMH9 1.VIRegulatory Apparatus9 1.VI.AFederal Securities Laws9 1.VI.

A.1Securities Exchange flirt of 1934 (Exchange fiddle) (34 scrap)9 1.VI.A.2Securities Act of 1933 (Securities Act) (33 Act)10 1.VI.A.3Investment Company Act of 1940 and Investment Advisors Act of 194010 1.VI.A.4Trust pitting Act of 193910 1.VI.A.5Public utility program Holding Company Act of 1935 (PUHCA)10 1.VI.A.6Sarbanes! -Oxley Act of 200210 1.VI.BSecurities and Exchange committee (SEC)11 1.VI.CSelf-Regulatory Organizations (SROs)12 2Materiality12 2.IWhat Matters to Investors?12 2.IIForward-Looking Information13 2.IIIHistorical Facts14 2.IVOpinions15 2.V primitive Mix16 3Definition of hostage17 3.IDo Securities Laws control?17...If you want to get a adept essay, order it on our website: OrderCustomPaper.com

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