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| 姚承曦，现任中国广东汕头大学商学院金融与证券监管学教授。姚承曦在美国证券业工作近二十年，包括证券监管部门和证券业界工作经历.历任美国全国证券交易商协会（NASD）法律顾问处律师，纳斯达克股票市场（NASDAQ）国际市场法律顾问，纽约股票交易所（NYSE）券商监管部高级法律顾问，和纽交所国际部亚太地区（包括中国上市公司）和加拿大国家上市公司经理。正业界，姚承曦先后任大型综合型券商公司监察副总裁和资本市场法律顾问；其后在全球最大共同基金集团Fidelity Investments任国际资本市场监管副总裁。姚承曦的监管范围包括：证券零售市场、资本市场、投资管理、美国国内市场和国际市场。 姚承曦获美国波士顿学院法学院法学博士学位（Juris Doctor），乔治敦大学法学研究中心金融与证券监管学硕士学位（LLM in Securities and Financial Regulation）。期间获乔治敦优秀研究生奖，及全美法学院国际金融研究奖。此前，姚承曦在中华人民共和国获联合国译员训练班研究生文凭，英美文学硕士学位，及英文本科文凭。姚承曦的英文专著，“Stock Market and Futures Market in the People's Republic of China.”由牛津大学出版社在美国、英国及中国香港发行。 David A．Sirignano，David A．Sirignano is a partner in theWashington．D．C．offce of Morgan Lewis&Bockius LLP．and CO-Head of the firm's SecuritiesPractice．Mr．Sirignano focuses on internationaland domestic corporate finance，mergers andacquisitions．and SEC regulation．He was formeLChair of the Corporate Reporting and DisclosureSubcommiffee of the American Bar Association，Federal Regulation of Securities Committee．Hewas Co-Chair of the ABA Task Force on CrossBorder。Offerings and Acquisitions．He has alsoserved on the Corporate Finance AdvisoryCommittee of FINRA． Before joining the firm in 1999，he wasAssociate Director foL 0nternational CorporateFinance in the United States Securities andExchange Commission’S Division of CorporationFinance．In that position，he developed SEC policy0n cross-border offerings，acquisitions，andlistings，including offshore Internet offerings，international disclosure and accounting standards．as well as internationa0 corporate governanceguidelines．He also advised the SEC Division ofEnforcement on financia0 fraud cases andcross-border offering abuses．Mr．Sirignano wasan adjunct professor at Georgetown University LaWCenter．where he taught the Course。n Mergersand Acquisitions． |
| In Perspective：Securities and Financial Regulation Foreword 序言 SUMMARY OF CONTENTS TABLE OF CONTENTs CHAPTER 1 REGULATORY STRUCTURE Section 1.1 1 Competition and Regulation：The SEC and the CFTC 1.1.1 Futures and Options on“Government Securities”:Securities or Commodity? 1.1.2 Index Participations：Securities or Futures? 1.1.3 Futures and Options on Single Stock and on Stock Indexes：Securities，Futures，Security Futures Section 1.2 Regulation of Financial Gatekeepers 1.2.1 Auditor Independence and Oversight by PCAOB Board 1.2.2 Credit Rating Agency NRSRO Designation Section 1.3 Securities Industry Self-Regulation 1.3.1 Concept of “Statutory Supervisor” 1.3.2 The Shingle Theory 1.3.3 Suitability Doctrine：Application to Online Brokerage CHAPTER 2 MARE：ET STRUCTURE Section 2.1 Exchange Markets, OTC Markets, and Customer DMA 2.1.1 NASDAQ Competing Dealers Model；NYSE Hybrid Auction Model；HN Liquidity Model 2.1.2 ATSs and Concept of “Exchange” 2.1.3 OTC Markets for Non-Listed Equities：OTCBB and Pink Sheets 2.1.4 Customer Direct Market Access to Exchanges and ATSs 2.1.5 Multiple Trading of Standardized Options in Listed Stocks Section 2.2 National Market system：Market Competition and Order Competition 2.2.1 Concept of“Best Execution 2.2.2 Concept of “Customer Order Protection” 2.2.3 The NMS System：Transparency，Competition，Fairness Efficiency 2.2.4 Inter-Market Surveillance for Cross-Market Trading Activities CHAPTER 3 PUBLIC COMPANY TRANSPARENCY Section 3.1 Periodic Reporting and Other Disclosure by Public Company 3.1.1 Periodic Reports by China. Based US Public Company &IFRS as Global Accounting Standards 3.1.2 US Public Company Doing Business in China＆Foreign Corrupt Practices Act 3.1.3 Issuer Selective Disclosure &Regulation FD（Fair Disclosure） Section 3.2 Mandatory Disclosure by Certain Shareholders 3.2.1 Potential for Corporate Control：Disclosure by 5％ Threshold Beneficial Owner 3.2.2 Decoupling by Derivatives：wh0 Is“Beneficial Owner”? CHAPTER 4 PROPHYLACTIC REGULATION OF MANIPULATION Section 4.1 Manipulation in Financial Markets 4.1.1 Concept of Manipulation 4.1.2 Market Gaming by NBBO Manipulation Section 4.2 Transactions for Corporate Control 4.2.1 Tender Offer：ALL-Holders and Best-Price Requirements 4.2.2 Takeover Battle：what Is Tender Offer? Section 4.3 Trading during Securities Distribution 4.3.1 short Sale Restriction in Advance of Follow-on/Secondary Offering 4.3.2 Market Making Restriction Section 4.4 Short Selling 4.4.1 Prohibition of Manipulative Naked Short Selling 4.4.2 Regulation of Short Sale：Order Marking；Locate；Circuit Breaker Close-Out CHAPTER 5 FRAUD IN CONNECTION WITH THE PURCHASE OR SALE OF A SECURITY Section 5.1 Insider Trading Liability Theories 5.1.1 Classical Theory of Insider Trading Liability 5.1.2 Tipper-Tippee Liability Theory；Temporary Insider Concept 5.1.3 Misappropriation Theory；Prophylactic Prohibition Theory Section 5.2 Private Damages Action for Fraud 5.2.1 Elements of Private Securities Fraud Action；Theory of Economic Loss 5.2.2 In Pari Delicto Doctrine（Equal Fault Concept） Section 5.3 Transnational Securities Fraud in Globalized Securities Market 5.3.1 Reach of US Insider Trading Law Enforcement 5.3.2 Limit on Extraterritorial Application of US Securities Laws to Foreign-Cubed Private Action |
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