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美国证券发行经典案例教程 内容简介
由中国汕头大学商学院姚承曦教授和美国前联邦证券与交易委员会官员david
sirignano合著的regulation of securities offerings and investment
banking：cases and materials for study in u．s．securities act of
1933《美国证券发行经典案例教程》，从金融与监管的角度，系统并突出中国企业特色，介绍了美国证券发行市场的运行机制和监管理论。
美国证券发行经典案例教程 目录
in pepective：securities and financial regulation
foreword--美国法学者序
foreword--中国经济学者序
summary of contents
table of contents
chapter l securities offerings：registration requirement and
exemptions
section 1．1 publicofferings：thedisclosuresystem
1．1．1 overview ofregistration process
1．1．2 ecmh．integrated disclosure system and disparate
quality dilemma
1．1．3 ecmh，shelf offering and due diligence dilemma
section 1．2 non-public offerings：traactioexemptfrom
registration
1．2．1 section 4(a)(2)exemption for“traactio by an issuer not
involving any public offering”
1．2．2 regulation d safe harbor for offering by issuer to
accredited and sophisticated investo：integration doctrine
1．2．3 rule 144a safe harbor for 0ffering by non—issuer
seller to qualified ititutional buye qibs
1．2．4 section 3(a)(11)intrastate offering exemption for
local financing
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