2003 Capital Markets Handbook

9780735530614

0735530610

Capital Markets Handbook, Fourth Edition is the definitive desk reference for capital market professionals and a complete resource for anyone working in the financial markets field. Written by seasoned professionals in association with the SIA, Capital Markets Handbook covers the latest developments in securities legislation, and all aspects of documentation, underwriting, pricing, distribution, settlement, immediate aftermarket trading of new issues, information, a glossary, a bibliography, and appendices containing the full text of the primary statutes and regulations. New To The 4th Edition: The Sarbanes-Oxley Act of 2002, which inpart amends the '33 and '34 Acts. NASD Rule 2711 and NYSE Rule 472, limiting communications between analysts and investment bankers about new issue transactions And The extending the quiet period for publication of research by lead and co-managers. Amendments To The NASD Corporate Financing Rule 2710 requiring members to use a new electronic filing system: 'Cobra Desk'. A Regulation M matrix to assist in answering questions about trading securities under Regulation M. And much more!