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PART ONE. REGIONS 1

CHAPTER ONE International Aspects of U.S. Securities Regulation 2

A. Internationalization of U.S. Securities Markets 2

B. The Basic Securities Law Framework 23

1.General Rules 23

2.Special Rules for Foreign Private Issuers 30

C. GAAP Reconciliation 36

1.Daimler-Benz Case 36

2.International Accounting Standards 39

D. Opening up U.S. Securities Markets 42

1.Rule 144A and Private Placements 42

2. The MJDS Approach 46

3.The Use of ADRs 53

E. Issuing Securities Abroad 58

1. The Regulation S Framework 58

2.Regulation S Reforms for U.S. Companies Issuing Securities Abroad 63

3. Directed Selling 64

4.Regulation S - Rule 144A Offerings 65

5.Regulation S - A Reform Proposal 66

CHAPTER TWO Securities in the European Union 69

A. Securities Markets 69

1.Disclosure 69

2.Provision of Services 83

Appendix 91

CHAPTER THREE Japanese Securities Markets 103

A. Japanese Securities Markets to the Early 1990s 105

B. Foreign Access to Securities Markets in Japan 108

1.Regulation of Non-Resident Issuers in Japan 109

2.Foreign Securities Firms in Japan 115

3.Foreign Securities Firms and the Corporate Bond Market 117

C. The Japanese Role in Foreign and International Securities Markets 123

1. The Regulation of Offshore Securities Operations 125

2. The Financial Services Agreement of 1995 and Cross-Border Capital Flows 127

D. The Stock Market Crisis and the Government’s Response 130

E. The Big Bang and Japan’s Securities Market 136

PART TWO. MARKETS AND INSTRUMENTS 144

CHAPTER FOUR Eurobonds and Global Securities 145

A. Eurobonds 145

1. The Market 145

2. Emerging Market Issues 157

3.Euro-Deutschmark Issues 159

4.Issuing Procedures 163

B. Global Securities 183

CHAPTER FIVE Stock Market Competition 196

A. U.S. Market 197

1.Overview of the U.S. Market 197

2. NYSE versus NASDAQ 214

3. NASDAQ Reforms 224

4.Circuit Breakers 226

B. Foreign Markets 228

C. Worldwide Competition Between Stock Markets 240

1.Trading Systems 240

2.Competition in Europe 248

3.Competition between Europe and the United States 257

CHAPTER SIX International Asset Securitization 260

A. Introduction 260

B. Elements of a Securitized Transaction and the Reasons to Securitize 261

1.Securitizable Assets 263

2. The Special Purpose Vehicle 264

3. The Form of the SPV and the Investor’s Interest in It 265

4.Bankruptcy Remoteness 267

5. Accounting Treatment 269

6.Taxation 270

7.Credit， Liquidity， and Other Enhancements 272

8.Investors and the Types of Asset Backed Securities 275

9.Rating 277

C. The Development of National ABS Markets 280

1. The US ABS Market 280

2. ABS Markets in Europe and Germany 285

3. ABS Markets in Japan 291

4. ABS Markets in India 293

D. Legal Issues for Cross-Border ABS 296

E. Proposed Capital Adequacy Rules for ABS 301

CHAPTER SEVEN Offshore Mutual Funds 304

A.United States Regulatory Barriers to Offshore Mutual Funds 305

1. The Investment Company Act of 1940 306

2.The Investment Advisers Act of 1940 339

B. Tax Considerations 340

PART THREE.INFRASTRUCTURE 352

CHAPTER EIGHT Capital Adequacy for Securities Operations 353

A.Risks Associated With Securities Operations 355

B. Capital Adequacy and Position Risk 360

1.Position Risk and the Building Block Approach 360

2. The Comprehensive Approach to Position Risk： The U.S 365

3. A Comparison of the Building Block and Comprehensive Approaches to the Portfolio Approach 370

4.Internal Models-Based Regulation of Capital 375

C.Other Risks and Capital for Non-Credit Risks 383

1.Other Securities Risks Addressed by Capital Adequacy Rules 383

2.The Definition of Capital for Non-Credit Risk 384

D.The Search for a Common Treatment of Banks， Their Affiliates， and Unaffiliated Securities Companies 385

E.Overall Evaluation of the Market Risk Capital Adequacy Rules 389

CEAPTER NINE Clearance and Settlement 391

A.The Basic Elements 391

1.Overview 391

2.Risks of Clearance and Settlement 404

B.Group of Thirty Proposals 416

1. The United States 418

2. The United Kingdom 420

C.International Dimensions 428

1.ICSDs 430

2.Settlement for Global Bonds 438

3.Rights in Dematerialized Securities 441

4.Future Arrangements 452

INTERNATIONAL FINANCE GLOSSARY 465

INDEX 487