Securities Industry Association capital markets handbook, 6th ed

Reference & Research Book News, August, 2005

KF1070

2001-266708

0-7355-5032-8

Securities Industry Association capital markets handbook, 6th ed.

Title main entry. Ed. by John C. Burch, Jr. and Bruce S. Foerster.

Aspen Publishers, Inc., [c]2005

--p.

$185.00

The 6th edition of this handbook contains revisions and updates that include new amendments to NASD rule 2710 (the so-called corporate financing rule); online Dutch auction procedures in use for the Google, Inc. IPO; amendments to rule 105 regulation M concerning short selling in connection with public offerings; NASD rule 2790 on the restriction on the purchase and sale of IPO equity securities; NASD IPO distribution manager procedures for filing with NASD corporate financing; and the proposed NASD rule 2712 concerning allocation and distribution of shares in an initial public offering. In addition, the chapter on compliance has been revised into a checklist format for easier use by the chief compliance officer. The handbook is now published in loose-leaf binder format with tabs. A glossary and list of acronyms are provided.