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International Enforcement Jurisdiction in Securities Law

A Comparative Analysis of U.S. and German Law


Trabajo de Seminario, 2011

45 Páginas


Extracto


Table of Contents

A. Basics
I. Occasion for Subject Matter
II. Delimitation of Subject Matter
III. Impact of International Law on Subject Matter
IV. Applicable Law and Subject Matter
V. The Presumption against Extraterritoriality v. Rule-by-rule Approach .

B. Antifraud Liability
I. Extraterritorial Application of Rule 10b-5
1. Text of Rule 10b-5 and its Interpretation in Morrison v. National Australia Bank Ltd
2. The Effect of Dodd-Frank
3. Conduct and Effect Test
II. Extraterritorial Application of §§ 14 and 20a WpHG
1. Insider trading
2. Market manipulation
III. Conclusion

C. Registration Requirement for Public Offerings
I. Extraterritorial Application of § 5 Securities Act
1. Text of § 5 and its Interpretation by the SEC
2. Regulation S
II. Extraterritorial Application of § 3 WpPG
III. Conclusion

D. Obligations of Periodic Disclosure
I. Extraterritorial Application of § 13 (a) Exchange Act
II. Extraterritorial Application of §§ 37v, 37w and 15 WpHG
III. Conclusion

E. Conclusion and Critique

F. Bibliography

Final del extracto de 45 páginas

Detalles

Título
International Enforcement Jurisdiction in Securities Law
Subtítulo
A Comparative Analysis of U.S. and German Law
Universidad
The University of Texas at Austin
Autor
Año
2011
Páginas
45
No. de catálogo
V179721
ISBN (Ebook)
9783656020943
ISBN (Libro)
9783656021179
Tamaño de fichero
887 KB
Idioma
Inglés
Notas
Die vorliegende Arbeit entstand im Rahmen des Seminars "Financial Markets Regulation" während des LL.M.-Studiums an der University of Texas at Austin. Gesetzgebung, Rechtsprechung und Literatur sind auf dem Stand von April 2011.
Palabras clave
international, enforcement, jurisdiction, securities, comparative, analysis, german
Citar trabajo
Michael Müller (Autor), 2011, International Enforcement Jurisdiction in Securities Law, Múnich, GRIN Verlag, https://www.grin.com/document/179721

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