Home | Databases | WorldLII | Search | Feedback Edited Legal Collections Data

"Index" [2014] ELECD 525; in Markham, Jerry; Gjyshi, Rigers (eds), "Research Handbook on Securities Regulation in the United States" (Edward Elgar Publishing, 2014) 517

Book Title: Research Handbook on Securities Regulation in the United States

Editor(s): Markham, Jerry; Gjyshi, Rigers

Publisher: Edward Elgar Publishing

ISBN (hard cover): 9781782540069

Section Title: Index

Number of pages: 36

Extract:

Index


accountancy committees, regulating structure and
fraud 386­7 function of 295
GAAP (Generally Accepted corporate governance and regulation
Accounting Principles) 88, 93, 252
218, 223 records, wilful destruction of 304
integrated disclosure system 77­8, see also accountancy
88­90, 102, 107
mandatory rotation of registered "bad boy" provisions 122, 133
firms, call for 293 Bae, D. 160
see also auditing bailout programs 497
accredited investors 129­30, 131, balance sheet see risk-based regulatory
179­80 capital rise, banks, balance sheet
advertising 127, 131­2, 340­41 bankruptcy 113, 114, 115, 313, 330
Agen, J. 256 banks
Alfriend, M. 205 bailout programs 497
Allen, F. 158 as dealers 354
alternative trading systems (ATS) 189, exemptions from 1933 Act
190­91, 193­4, 197, 199 registration 111
Anderson, J. 395 risk-based regulatory capital rise see
antifraud provisions see fraud risk-based regulatory capital
arbitration rise, banks
between customers and brokerage security definition under federal
firms see securities arbitration securities laws 38­40
between customers and Barkate, A. 21
brokerage firms Barnard, J. 314
forums for customers damaged by Barrett, D. 71
Commodity Exchange Act Basel Capital Accord see risk-based
regulatory capital rise, banks,
(CEA) violations 338
Basel Capital Accord
and private rights of action 477­81
Bauguess, S. 178
Art, R. 29 Benveniste, L. 158
assets under management (AUM) 231, Berle, A. 247
232­3, 234, 235, 236­7, 238 Berman, D. 499
associated person, broker-dealer Black, Barbara 412­56
regulation 360­61 Blau, Leslie A. ...