Capital markets, derivatives and the law
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Oxford [u.a.]
Oxford Univ. Press
2009
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| 100 | 1 | |a Rechtschaffen, Allan |e Verfasser |4 aut | |
| 245 | 1 | 0 | |a Capital markets, derivatives and the law |c Alan N. Rechtschaffen |
| 264 | 1 | |a Oxford [u.a.] |b Oxford Univ. Press |c 2009 | |
| 300 | |a XXIX, 352 S. |b graph. Darst. |c 25 cm | ||
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| 500 | |a Includes bibliographical references and index | ||
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| 650 | 0 | |a Securities / United States | |
| 650 | 0 | |a Capital market / Law and legislation / United States | |
| 650 | 0 | |a Securities industry / State supervision / United States | |
| 650 | 0 | |a Securities industry / Deregulation / United States | |
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Datensatz im Suchindex
| _version_ | 1819751729070080000 |
|---|---|
| adam_text | CAPITAL MARKETS, DERIVATIVES AND THE LAW ALAN N. RECHTSCHAFFEN OXPORD
UNIVERSITY PRESS CONTENTS FOREWORD XVII PREFACE XIX ACKNOWLEDGMENTS
XXIII INTRODUCTION XXVII CHAPTER 1 THE FINANCIAL CRISIS 1 I.
ORIGINS 2 II. SUBPRIME LENDING 2 III. GOVERNMENT-SPONSORED ENTITIES 3
IV. THE LIQUIDITY CRISIS AND THE FED S REACTION 5 V. PROVIDING LIQUIDITY
AND STABILIZING THE FINANCIAL MARKETS 9 VI. THE EMERGENCY ECONOMIC
STABILIZATION ACT 10 VII. RESULTS 12 CHAPTER 2 FINANCIAL INSTRUMENTS IN
THE CAPITAL MARKETS 13 I. THE CAPITAL MARKETS 13 A. PRIMARY VS.
SECONDARY MARKETS 15 B. LONG-TERM VS. SHORT-TERM MARKETPLACES 15 C. CASE
STUDY: THE AUCTION RATE SECURITIES MARKET (ARS) 16 II. FINANCIAL
INSTRUMENTS 17 A. TYPES OF FINANCIAL INSTRUMENTS 17 1. EQUITY-BASED
FINANCIAL INSTRUMENTS 17 2. DEBT-BASED FINANCIAL INSTRUMENTS 18 3.
DERIVATIVES 19 B. DISTINCTION BETWEEN DEBT AND EQUITY 20 C. FEDERAL
REGULATION 23 III. THE EVOLVING ROLE OF THE ATTORNEY 25 A. COMPETENT
REPRESENTATION 25 B. DUTY TO ADVISE CLIENT 25 C. DRAFTING FINANCIAL
INSTRUMENTS 26 D. REGULATORY COMPLIANCE 26 E. LIABILITY TO THIRD PARTIES
27 F. THE ATTORNEY AS BUSINESS PARTNER 28 CHAPTER 3 USING FINANCIAL
INSTRUMENTS 29 I. GOAL-ORIENTED INVESTING 29 A. USING FINANCIAL
INSTRUMENTS TO HEDGE RISK 30 VLLL CONTENTS B. USING FINANCIAL
INSTRUMENTS TO ENHANCE YIELD 31 C. THE ECONOMY S IMPACT ON FINANCIAL
INSTRUMENTS 32 II. ACHIEVING INVESTMENT GOALS 33 A. THE INVESTOR S
PERSPECTIVE 33 B. FINANCIAL INSTRUMENT OBJECTIVES 35 III. MANAGING RISK
37 CHAPTER 4 SECURITIES REGULATION 39 I. REGULATORY OVERVIEW 39 A. THE
SECURITIES AND EXCHANGE COMMISSION 41 1. JURISDICTION 41 B. WHAT
CONSTITUTES A SECURITY 42 1. STOCKS 43 2. NOTES 45 3. INVESTMENT
CONTRACTS*THE HOWEY TEST 51 A. CONTROL AND SPLITTING THE TRANSACTION 57
B. PREPURCHASE EFFORTS 59 C. STATE REGULATION AND THE HAWAII MARKET TEST
61 C. SELLERS REPRESENTATIONS 63 D. CONSEQUENCES OF SECURITIES
VIOLATIONS 64 1. PRELIMINARY INJUNCTION 65 2. DISGORGEMENT 65 3.
PERMANENT INJUNCTION 65 4. ANTIFRAUD STATUTES 66 5. ATTORNEY S POTENTIAL
LIABILITY 67 E. HEDGE FUNDS 67 1. THE INVESTMENT COMPANY ACT 69 2.
INVESTMENT ADVISERS ACT 70 3. SECURITIES ACT 71 4. OTHER REGULATIONS 72
APPENDIX A: CHECKLIST FOR STOCKS, NOTES, AND INVESTMENT CONTRACTS 73
APPENDIX B: DERIVATIVE PRODUCT REGULATION 74 CHAPTER 5 UNDERSTANDING
INTEREST RATES AND THE ECONOMY 79 I. THE FEDERAL RESERVE 79 A. RECENT
MARKET TURMOIL AND THE FED S REACTION 80 B. BACKGROUND 83 II. THE ROLE
OF THE FEDERAL RESERVE IN DOMESTIC CAPITAL MARKETS 87 A. THE FEDERAL
RESERVE BANKING SYSTEM 87 CONTENTS IX 1. COMPOSITION 87 2. PURPOSE 88 3.
RESPONSIBILITIES 88 B. FEDERAL FUNDS TRANSACTIONS 89 C. THE FEDERAL
FUNDS RATE 90 D. BANKS AND FEDERAL FUNDS 91 III. ECONOMIC INDICATORS AND
INTEREST RATES 93 A. THE ECONOMIC CALENDAR 93 B. KEY ECONOMIC STATISTICS
93 C. ASSET PRICING AND SHORT-TERM INTEREST RATES 97 D. MONETARY POLICY
DECISIONS 98 IV. THE ROLE OF THE FEDERAL OPEN MARKET COMMITTEE 99 A.
AFFECTING THE FEDERAL FUNDS RATE 99 B. TREATMENT OF FEDERAL FUNDS 101 C.
IMPLEMENTING MONETARY POLICY 102 D. OPEN MARKET OPERATIONS 103 E.
TARGETING THE FEDERAL FUNDS RATE 105 F. HOW THE FEDERAL RESERVE TALKS UP
THE MARKET 106 G. INFLATION TARGETING 107 APPENDIX A: SAMPLE FOMC
MINUTES 109 APPENDIX B: FAQS: MBS PURCHASE PROGRAM 120 CHAPTER 6 ASSET
VALUATION 123 I. THE USE OF INTEREST RATES IN ASSET VALUATION 123 II.
INTEREST RATE YIELD CURVE 124 A. TYPES OF YIELD CURVES 125 B. WHY THE
YIELD CURVE MAY BE FLAT OR INVERTED 127 1. INCREASE IN MARKET DEMAND FOR
LONG-TERM SECURITIES 127 2. LONG-TERM YIELD AFFECTED BY FEDERAL RESERVE
T MONETARY POLICY 128 CHAPTER 7 UNITED STATES TREASURY SECURITIES 129 I.
PURPOSE AND GOALS 129 A. RISK-FREE NATURE 130 B. PRIMARY DEALERS 131 II.
DESCRIPTION OF U.S. TREASURY SECURITIES 132 A. TYPES OF TREASURY
SECURITIES 132 1. TREASURY BILLS 132 2. TREASURY NOTES AND BONDS 132 X
CONTENTS B. PRICING 133 1. DISCOUNTS AND PREMIUMS 133 2. FACTORS
AFFECTING YIELD 133 III. BOND AUCTIONS AND THEIR EFFECT ON PRICE 135 A.
INTERRUPTION OF SUPPLY: SEC V. DAVIS ET AL. 135 B. MANIPULATION OF THE
AUCTION PROCESS: UNITED STATES V. SALOMON BROTHERS 136 IV. INTEREST
RATES 138 A. FIXED VS. FLOATING RATE SECURITIES 138 B. TREASURY
INFLATION-PROTECTED SECURITIES (TIPS) 138 V. STRIPS 140 A. DESCRIPTION
140 B. VALUATION 140 C. USES 141 D. ABUSES: IN THE MATTER OF ORLANDO
JOSEPH JETT 142 CHAPTER 8 DEBT SECURITIES 145 I. DESCRIPTION 145 A.
FEATURES OF BONDS 146 B. TYPES OF BONDS 146 C. THE INDENTURE 147 II.
BOND RATING AGENCIES 147 A. INDEPENDENCE AND CONFLICTS OF INTEREST 149
B. REGULATION OF BOND RATING AGENCIES 149 III. SPECIAL TYPES OF
FIXED-INCOME SECURITIES 149 A. REPOS 149 1. DESCRIPTION 149 2. ORANGE
COUNTY CASE STUDY 150 B. MORTGAGE-BACKED SECURITIES 152 1. STRUCTURING
MORTGAGE-BACKED SECURITIES 153 2. RECENT SUBPRIME MORTGAGE CRISIS 154
IV. EXEMPTION FROM SECURITIES ACT REGISTRATION 154 A. GOVERNMENT
SECURITIES 155 B. GOVERNMENT AGENCY SECURITIES 155 C. MUNICIPAL
SECURITIES 156 1. SEC DISCLOSURE REQUIREMENTS 156 2. MSRB DISCLOSURE
REQUIREMENTS 156 D. CORPORATE DEBT SECURITIES 157 1. SECURITIES ACT
REQUIREMENTS 157 2. TRUST INDENTURE ACT REQUIREMENTS 157 E. PRIVATE
PLACEMENTS OF DEBT SECURITIES 157 CONTENTS XI CHAPTER 9 DERIVATIVES 159
I. INTRODUCTION 159 A. DESCRIPTION 159 B. COUNTERPARTY CREDIT RISK 160
C. OVER-THE-COUNTER VS. EXCHANGE-TRADED DERIVATIVES 162 II. SHIFTING
RISK 163 A. THE CONCEPT OF LEVERAGE 164 B. BASIS RISK 164 C. MARKET RISK
165 V D. EFFECTIVE TOOLS OF RISK MANAGEMENT 165 III. TYPES OF
DERIVATIVES 165 A. FORWARDS 166 B. FUTURES 167 1. REDUCTION OF
COUNTERPARTY RISK 167 2. SUITABILITY AS HEDGING INSTRUMENTS 168 C.
DISTINCTION BETWEEN FORWARDS AND FUTURES 168 D. FOREIGN EXCHANGE
FORWARDS AND FUTURES 169 E. OPTIONS 170 F. SWAPS 172 1. CHARACTERISTICS
OF SWAPS 172 2. THE ISDA MASTER AGREEMENT 172 G. CREDIT DERIVATIVES 173
CHAPTER 10 TYPES OF SWAPS 175 I. PLAIN VANILLA INTEREST RATE SWAPS 175
II. CURRENCY SWAPS 177 III. CREDIT-DEFAULT SWAPS 178 A. PURPOSE AND
FUNCTION 179 B. ISDA MASTER AGREEMENT 180 C. IMPORTANCE OF CLEARLY
DEFINED TERMS 180 1. CREDIT EVENT 181 2. REFERENCE ENTITY 183 D. OTHER
ISSUES 187 E. REGULATORY ACTION 187 CHAPTER 11 REGULATION OF DERIVATIVES
191 I. DERIVATIVES REGULATION 192 II. THE COMMODITY FUTURES TRADING
COMMISSION (CFTC) 192 A. JURISDICTION 192 XLL CONTENTS III. REGULATORY
BACKGROUND 193 A. COMMODITY EXCHANGE ACT (CEA) OF 1936 193 B. COMMODITY
FUTURES MODERNIZATION ACT (CFMA) OF 2000 194 C. JURISDICTIONAL DISPUTES
195 D. THE COMMODITY FUTURES MODERNIZATION ACT 195 E. EXCLUSIONS 196 F.
FORWARDS 197 G. OPTIONS 198 H. FUTURES 198 !. I. REGULATORY DISTINCTIONS
BETWEEN FORWARDS AND FUTURES 200 J. SWAPS 203 K. HYBRID INSTRUMENTS 205
L. FOREIGN EXCHANGE PRODUCTS 205 1. THE TREASURY AMENDMENT 206 2. CTFC
REAUTHORIZATION 207 IV. REGULATORY AGENCIES 207 A. COMMODITY FUTURES
TRADING COMMISSION (CFTC) 207 1. ROLE OF THE CFTC 208 2. STRUCTURE 208
3. DISCIPLINARY ACTION 209 B. NATIONAL FUTURES ASSOCIATION (NFA) 209 1.
REGULATORY ACTIVITIES 209 2. MANDATORY REGISTRATION 210 3. GOVERNANCE
210 V. EXCHANGES 210 A. HISTORICAL BACKGROUND 210 B. TYPES OF EXCHANGES
211 1. MEMBERSHIP ASSOCIATIONS 211 2. DEMUTUALIZED EXCHANGES 212 3.
PUBLIC EXCHANGES 212 C. ELECTRONIC COMMUNICATIONS NETWORKS (ECNS) 212 D.
MARKETS CREATED BY THE CFMA 213 1. DESIGNATED CONTRACT MARKETS 213 2.
DERIVATIVES TRANSACTION EXECUTION FACILITIES 213 3. DERIVATIVES CLEARING
ORGANIZATIONS 213 4. EXEMPT BOARDS OF TRADE 213 E. REGULATORY
JURISDICTION 214 CONTENTS XLLL VI. CURRENT AND EMERGING ISSUES 214 A.
EFFORTS TO RESTRUCTURE REGULATORY ENTITIES 214 B. FOREIGN BOARDS OF
TRADE 215 APPENDIX A CASE STUDY: CFTC V. AMARANTH ADVISORS, LLC 215
APPENDIX B CASE STUDY: CFTC V. ZELENER 218 APPENDIX C STRUCTURE OF CFTC
220 CHAPTER 12 FIDUCIARY OBLIGATION TO MANAGE RISK 221 I. CONTROLLING
RISK 222 A. DIRECTORS AND OFFICERS DUTY TOMANAGE RISK 222 1. RISK
MANAGEMENT FOR FINANCIAL AND NONFINANCIAL INSTITUTIONS 224 B. FINANCIAL
RISK 226 C. QUANTIFYING FINANCIAL RISK 226 1. VALUE AT RISK 226 2.
VOLATILITY RISK 227 3. STRESS TESTING 227 D. PORTFOLIO DYNAMICS 229 II.
OPERATIONAL RISK MANAGEMENT 229 A. DIRECTORS AND OFFICERS
UNDERSTANDING OF FINANCIAL INSTRUMENTS 230 B. RISK POLICY 230 C.
REPORTING LINES AND AUDIT TECHNIQUES 232 D. EMPOWERING BOARD MEMBERS 232
E. REPORTING STRUCTURES 233 F. INFORMATION FLOW 234 1. DAILY EXCEPTION
REPORT 234 2. RED FLAGS 235 G. ETHICAL CONCERNS 235 1. COMPENSATION 235
2. CODE OF CONDUCT 236 3. FREE FLOW OF INFORMATION 236 H. FLEXIBILITY
237 III. EXECUTIVE PROTECTION 237 A. RESPONSIBILITY FOR RISK MANAGEMENT
237 B. BUSINESS JUDGMENT RULE 238 C. EDUCATION AT FINANCIAL INSTITUTIONS
238 D. DISCLOSURE UNDER SARBANES-OXLEY ACT 238 1. DISCLOSURES IN MD&A
238 2. OFF-BALANCE SHEET TRANSACTIONS 240 XIV CONTENTS CHAPTER 13
LITIGATION ISSUES 241 I. FEDERAL SECURITIES LAWS 241 A. SECURITIES
EXCHANGE ACT OF 1934 RULE IOB-5 CLAIM 241 1. CHURNING 242 2. INVESTOR
PARTIALLY AT FAULT 244 B. SECURITIES ACT OF 1933 244 II. COMMON LAW
THEORIES 245 A. BREACH OF FIDUCIARY DUTY 248 B. COMMON LAW FRAUD 251 C.
SHINGLE THEORY 251 ^ . _ D. TORT THEORY 252 E. CONTRACT THEORY 252 III.
STATE BLUE SKY LAWS 252 IV. LITIGATION ISSUES REGARDING SPECIFIC
DERIVATIVES 253 A. OPTIONS 253 1. RISK DISCLOSURE 254 B. SWAPS 256 C.
FORWARD CONTRACTS 257 D. FUTURES CONTRACTS 258 V. ARBITRATION 261
CHAPTER 14 SUITABILITY 263 I. THE SUITABILITY DOCTRINE 263 A. BASIS OF
THE SUITABILITY DOCTRINE 264 B. SPECIAL CIRCUMSTANCES 266 II. EQUITIES
AND EQUITY DERIVATIVES 268 A. FINRA AND SELF-REGULATED ORGANIZATIONS
(SROS) 268 B. SRO RULES 269 1. THE NASD SUITABILITY RULE 270 2. NYSE
KNOW-YOUR-CUSTOMER RULE 272 C. THE ANTIFRAUD PROVISIONS OF THE FEDERAL
SECURITIES LAWS- UNSUITABILITY AS A BASIS FOR A SECTION 10B CAUSE OF
ACTION 273 III. COMMODITIES-BASED DERIVATIVES/FINANCIAL FUTURES AND
OPTIONS 275 A. CFTC DISCLOSURE RULES 275 B. NATIONAL FUTURES ASSOCIATION
277 C. CEA ANTIFRAUD PROVISION 278 D. MUNICIPAL SECURITIES RULEMAKING
BOARD 278 IV. SWAPS 278 V. MORTGAGE-BACKED SECURITIES AND THE SUBPRIME
CREDIT CRISIS 279 CONTENTS XV A. MORTGAGE-BACKED BONDS 281 B.
PASS-THROUGH SECURITIES 281 C. COUATERALIZED MORTGAGE OBLIGATIONS AND
REAL ESTATE MORTGAGE INVESTMENT CONDUITS 282 APPENDIX A 282 CHAPTER 15
OPTIONS 287 I. CHARACTERISTICS OF OPTIONS 287 II. HOW OPTIONS WORK 288 -
A. CALLS AND PUTS 289 * 1. CALL OPTION 289 2. PUT OPTION 290 CASE
STUDY: LEVY V. BESSEMER TRUST 290 III. THE BLACK-SCHOLES MODEL AND
OPTION PRICING 292 A. ASSUMPTIONS 293 B. REQUIRED DATA 293 C. VOLATILITY
293 1. TYPES OF VOLATILITY 293 2. MEASURES OF VOLATILITY 294 D.
AUTHORITY OF BLACK-SCHOLES MODEL 296 IV. DELTA HEDGING 296 A. CONTRACTS
THAT ARE ECONOMICALLY OPTIONS 297 B. OTC VS. EXCHANGE-TRADED OPTIONS 299
C. REGULATION OF OPTIONS 300 V. OPTION STRATEGIES 300 A. SYNTHETIC CALL
300 B. COVERED CALL 300 C. COLLAR 301 CHAPTER 16 STRUCTURES 303 I.
CREATION OF STRUCTURES 303 II. HISTORICAL EXAMPLE: ERLANGER COTTON
BONDS 304 III. MODERN EXAMPLE: THE ORANGE COUNTY STRUCTURED NOTE 307 IV.
RISKS INVOLVED 309 A. INTEREST RATE RISK 309 B. LIQUIDITY RISK 310 C.
REINVESTMENT RISK 310 D. OCC WARNING 310 V. RANGE NOTES 312 APPENDIX 315
INDEX 339
|
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| geographic_facet | USA |
| id | DE-604.BV036462818 |
| illustrated | Illustrated |
| indexdate | 2024-12-24T00:03:28Z |
| institution | BVB |
| isbn | 9780195339086 0195339088 |
| language | English |
| lccn | 2009013421 |
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| physical | XXIX, 352 S. graph. Darst. 25 cm |
| publishDate | 2009 |
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| publisher | Oxford Univ. Press |
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| spellingShingle | Rechtschaffen, Allan Capital markets, derivatives and the law Financial instruments / United States Securities / United States Capital market / Law and legislation / United States Securities industry / State supervision / United States Securities industry / Deregulation / United States Stock exchanges / Law and legislation / United States Recht Derivate (DE-588)4400584-2 gnd Kapitalmarkt (DE-588)4029578-3 gnd |
| subject_GND | (DE-588)4400584-2 (DE-588)4029578-3 |
| title | Capital markets, derivatives and the law |
| title_auth | Capital markets, derivatives and the law |
| title_exact_search | Capital markets, derivatives and the law |
| title_full | Capital markets, derivatives and the law Alan N. Rechtschaffen |
| title_fullStr | Capital markets, derivatives and the law Alan N. Rechtschaffen |
| title_full_unstemmed | Capital markets, derivatives and the law Alan N. Rechtschaffen |
| title_short | Capital markets, derivatives and the law |
| title_sort | capital markets derivatives and the law |
| topic | Financial instruments / United States Securities / United States Capital market / Law and legislation / United States Securities industry / State supervision / United States Securities industry / Deregulation / United States Stock exchanges / Law and legislation / United States Recht Derivate (DE-588)4400584-2 gnd Kapitalmarkt (DE-588)4029578-3 gnd |
| topic_facet | Financial instruments / United States Securities / United States Capital market / Law and legislation / United States Securities industry / State supervision / United States Securities industry / Deregulation / United States Stock exchanges / Law and legislation / United States Recht Derivate Kapitalmarkt USA |
| url | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=020334670&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| work_keys_str_mv | AT rechtschaffenallan capitalmarketsderivativesandthelaw |