SEC Regulation Outside the United States, Sixth Edition

SEC Regulation Outside the United States, Sixth Edition

Companies outside the USA that are listed in the USA, or which are affected by US listings, need this book.

This seminal work provides information and guidance on how the US federal security laws and SEC regulations apply outside of the USA.


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This book provides a comprehensive source of information on how US's federal security laws and Securities and Exchange Commission (SEC) regulations apply outside the USA.

The book has been thoroughly updated taking into account all of the latest changes in the US's federal security laws & SEC regulations. Additionally it has had extra content added covering such topics as SOX internal controls, FCPA, PIPE enforcement cases and much, much more.

SEC Regulation Outside of the United States, Sixth Edition provides key information for market participants, including:

  • SEC Practice.
  • Public Offers with US Registered Tranches.
  • Private Placements.
  • Cross-border M&A Activities.
  • The Regulation of Non-US Money Managers and Hedge Fund Advisors.
  • Broker-dealer regulation and Exemptions.
  • Exemptions for Offering Hedge Funds to US Persons.
  • Compliance with SEC Requirements for Non-US Advisors and Broker Dealers and Key Regulatory Enforcement Actions Involving the Foreign Corrupt Practices Act.
  • Insider Trading, Hedge Fund Fraud and other Matters.

Key Features:

  • Provides a comprehensive source of information on how the US's federal security laws and SEC's regulations apply outside the USA.
  • Updated and fully revised taking into account all the latest changes in applicable legislation and regulation.

Editor: Mark Berman

Publisher: Risk Books

ISBN 10: 1904339953

ISBN 13: 9781904339953

Pages: 300

Format: Hard Cover

Published Date: 21 December 2007
Availability: In Stock

If your company is listed on the markets in the US you'll need to understand how the the US's federal security law and SEC regulations affect you. This is where this book's strength lies. Buy today.

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