由中国汕头大学商学院姚承曦教授和美国前联邦证券与交易委员会官员David
Sirignano合著的Regulation of Securities Offerings and Investment
Banking：Cases and Materials for Study in U．S．Securities Act of
1933《美国证券发行经典案例教程》，从金融与监管的角度，系统并突出中国企业特色，介绍了美国证券发行市场的运行机制和监管理论。
目錄：
In Pepective：Securities and Financial Regulation
Foreword--美国法学者序
Foreword--中国经济学者序
SUMMARY OF CONTENTS
TABLE OF CONTENTS
CHAPTER l SECURITIES oFFERINGS：REGISTRATION REQUIREMENT AND
EXEMPTIONS
Section 1．1 PublicOfferings：TheDisclosureSystem
1．1．1 Overview ofRegistration Process
1．1．2 ECMH．Integrated Disclosure System and Disparate
Quality Dilemma
1．1．3 ECMH，Shelf Offering and Due Diligence Dilemma
Section 1．2 Non-Public Offerings：TraactioExemptfrom
Registration
1．2．1 Section 4a2Exemption for“Traactio by an Issuer Not
Involving Any Public Offering”
1．2．2 Regulation D Safe Harbor for Offering by Issuer to
Accredited and Sophisticated Investo：Integration Doctrine
1．2．3 Rule 144A Safe Harbor for 0ffering by Non—Issuer
Seller to Qualified Ititutional Buye QIBs
1．2．4 Section 3a11Intrastate Offering Exemption for
Local Financing
Section 1．3 aoing Public the Non—Traditional Way and Theory
ofSale
1．3．1 Spin Off．
1．3．2 Revee Merger and Back Door Registration
CHAPTER 2 MATERIALITY AND CIVIL LIABILITY
Section 2．1 Concept ofMateriality
2．1．1 Meaning ofMaterial Fact
2．1．2 MDA：Management’S Discussion and Analysis of
Financial Statements
2．1．3 Forward—Looking Statements：Bespeaks Caution Doctrine
and Its Progeny．
Section 2．2 Standards of Civil Liability
2．2．1 Public Offering：Liability for False Registration
Statement
2．2．2 A11 Offerings：Liability for Fraudulent Offer or Sale
of Securities
2．2．3 Securities Professional as Statutory Seller
CHAPTER 3 UNDERWRITING AND STATUTORY UNDERWRITER
Section 3．1 SyndicateBook-BuildingandAflermarketActivities
3．1．1 Integrity ofPublic Offering Process：Pricing
andAlloction
3．1．2 Syndicate Stabilizing，Aftermarket Covering，and Penalty
Bids
Section 3．2 Investment Banking-Research Conflicts of Interest
3．2．1 Managing Investment Banking—Research Conflicts of
Interest
3．2．2 Research Publication in connection with an
Offering．
Section 3．3 Statutory Underwriter
3．3．1 Primary Distribution by Issuer
3．3．2 Secondary Distribution by Controlling
Shareholder
CHAPTER 4 PROSPECTUS；FREE WRITING PROSPECTUS： ILLEGAL oFFER
Section 4．1 Pre-Filing Period：Concept ofConditioning the
Market
4．1．1 Section 5cProhibition agait Gun Jumping
4．1．2 “Conditioning the Market”Concept Modernized
Section 4．2 Waiting Period：Concept ofNon—Conforming
Prospectus
4．2．1 Section 5b1Prohibition agait Free Writing
4．2．2 “Free Writing Prospectus”as Modem Concept
Section 4．3 Post-Effectiveness andAftermarket：FinalProspectus
4．3．1 Sectio 5b2／4a3Requirements of Final Prospectus
Delivery
4．3．2 Timing Asymmetry：Investment Decision and Information
Availability
CHAPTER 5 INNOVATIVE FINANCIAL PRODUCTS AND INTERNET
OFFERINGS
Section 5．1 WhatIs a"Security”
5．1．1 Investment Contracts：Variable Schemes VS Economic
Realitv
5．1．2 Hybrid Iurance—Securities Products
5．1．3 OTC Derivatives：Equity Swap and Synthetic Option
5．1．4 OTC Derivatives：Credit Default SwapCDS
Section 5．2 Securities Offerings overInternet
5．2．1 Public Offering：Alternatives to Traditional Firm
Commitment Underwriting
5．2．2 Capital Raising from the Online Crowd：Crowdfunding
Small and Micro Businesses
5．2．3 Free Stock Distribution on Internet：Theory of Sale
Applied to CyberShares
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