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Understanding Financial Products 2018
Author(s):
Margery K. Neale, Robert S. Risoleo
Practice Area:
Corporate & Securities
Published:
Jan 2018
ISBN:
9781402430602
PLI Item #:
220150
CHB Spine #:
B2380
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Regulatory Framework of Securities Act Registration
Chapter 2. Securities Act Registration Exemptions
Chapter 3. Resales of Securities Under the Securities Act
Chapter 4. Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, SEC Extends Interim Final Rules Granting Exemptions for Security-Based Swaps (March 15, 2017)
Chapter 5. Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, Regulators Issue Guidance on Non-Compliance with Impending Variation Margin Requirements (March 29, 2017)
Chapter 6. Donna M. Parisi, Geoffrey B. Goldman and Azam H. Aziz, CFTC Provides Time-Limited No-Action Relief for Aggregation Notice Filings for Position Limits (March 29, 2017)
Chapter 7. Donna M. Parisi, Geoffrey B. Goldman, Azam H. Aziz and Nicholas Emguschowa, CFTC Extends and Revises Relief for Position Aggregation Requirements and Notice Filings (September 20, 2017)
Chapter 8. Joel Moss, Geoffrey B. Goldman and Reena Agrawal Sahni, Final Rule Issued on Qualified Financial Contracts: What You Need to Know (November 8, 2017)
Chapter 9. Second Treasury Report Issued: Implications for the Derivatives Market
Chapter 10. Introduction to Life Settlements
Chapter 11. Supreme Court Holding that SEC Disgorgement is Subject to Five-Year Limitations Period Portends Significant Consequences for SEC, CFTC and FERC Enforcement Regimes (June 6, 2017)
Chapter 12. Kokesh v. Securities and Exchange Commission, No. 16-529, 581 U.S. ___ (2017)
Chapter 13. Salman v. United States, No. 15-628, 580 U.S. ___ (2016)
Chapter 14. In the Matter of Lynn Tilton, Administrative Proceeding Release No. 3-16462 (September 27, 2017)
Chapter 15. Securitization of Equipment and Auto Leases
Chapter 16. Real Estate Investment Trusts
Chapter 17. Forming, Organizing and Operating a Mutual Fund: Legal and Practical Considerations
Chapter 18. Distributing Mutual Funds Through Intermediaries: Practical Considerations Concerning Distribution Through Broker-Dealers, Fund Supermarkets and Retirement Plans
Chapter 19. Regulation of ETFs and Other Exchange Traded Products
Chapter 20. Rationale for Regulation
Chapter 21. Hedge Funds
Chapter 22. Appearing and Practicing Before the SEC: Ethical Considerations for Corporate Counsel
Index
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