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by Alan N. Rechtschaffen (Author)
About the Author
Alan N. Rechtschaffen is a senior member of The Rechtschaffen Group at a top tier financial institution. He has over 20 years' experience in the capital markets. He is an adjunct professor of law at New York University, and has held several public offices.
About this book
Dramatic failures in individual markets and institutions sparked a global financial crisis that resulted in political, social, and economic unrest. In the United States, a host of legislative acts have completely reshaped the regulatory landscape.
Capital Markets, Derivatives and the Law: Positivity and Preparation investigates the impact of the financial crisis on capital markets and regulation. With an emphasis on the structure and the workings of financial instruments, it considers market evolution after the crisis and the impact of Central Bank policy. In doing so, it provides the reader with the tools to recognize vulnerabilities in capital market trading activities.
This edition serves as an essential guide to better understand the legal and business considerations of capital market participation. With useful definitions, case law examples, and expert insight into structures, regulation, and litigation strategies, Capital Markets, Derivatives and the Law: Positivity and Preparation offers readers invaluable tools to make prudent, well-informed decisions.
Brief contents
1. The Financial Crisis: The Seeds of New Regulation 1
2. The Liquidity Crisis and Government Reaction 13
3. Dodd- Frank and the Regulation of Depository Institutions Capital Requirements 25
4. Using Financial Instruments 37
5. Financial Instruments and the Capital Markets 47
6. Bureau of Consumer Financial Protection 65
7. Understanding Interest Rates and the Economy 81
8. Asset Valuation 111
9. United States Treasury Securities 121
10. Debt Securities 139
11. Derivatives 157
12. Types of Swaps 199
13. Options 231
14. Regulation of Swaps 249
15. Securities Regulation 287
16. Suitability 325
17. The History of the CFTC 367
18. Fiduciary Obligation to Manage Risk 397
19. Litigation Issues 423
20. Synthesis and Conclusion 443
Index 459
Pages: 512 pages
Publisher: Oxford University Press; 3 edition (May 28, 2019)
Language: English
ISBN-10: 0190879637
ISBN-13: 978-0190879631
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