Securities-Regulation-Choi-Sp06

Securities-Regulation-Choi-Sp06 - Securities Law Outline...

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Unformatted text preview: Securities Law Outline Choi Spring 2006 1 Introduction ............................................................................................................................................... 1 1.I The Basics ......................................................................................................................................... 1 1.II Types of Securities ............................................................................................................................ 1 1.II.A Common Stock .......................................................................................................................... 2 1.II.B Preferred Stock .......................................................................................................................... 2 1.II.C Bonds ......................................................................................................................................... 3 1.III Capital Market ................................................................................................................................. 3 1.III.A Primary Market Transactions ................................................................................................... 4 1.III.B Secondary Market Transactions ............................................................................................... 4 1.III.B.1 Securities Exchanges ......................................................................................................... 5 1.III.B.2 Nasdaq ............................................................................................................................... 5 1.III.B.3 ECNs ................................................................................................................................. 5 1.IV Investment Decisions ....................................................................................................................... 5 1.IV.A Present Discount Valuation ..................................................................................................... 5 1.IV.A.1 Interest .............................................................................................................................. 5 1.IV.A.2 Present Value .................................................................................................................... 6 1.IV.B What Risks Matter ................................................................................................................... 6 1.V Who Provides Investor Information .................................................................................................. 6 1.V.A Incentives to Provide Information ............................................................................................. 6 1.V.B Argument for Mandatory Disclosure ........................................................................................ 7 1.V.B.1 Coordination Problems ...........................................................................................................
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Securities-Regulation-Choi-Sp06 - Securities Law Outline...

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