International Enforcement Jurisdiction in Securities Law

A Comparative Analysis of U.S. and German Law


Seminar Paper, 2011

45 Pages


Excerpt


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

Excerpt out of 45 pages

Details

Title
International Enforcement Jurisdiction in Securities Law
Subtitle
A Comparative Analysis of U.S. and German Law
College
The University of Texas at Austin
Author
Year
2011
Pages
45
Catalog Number
V179721
ISBN (eBook)
9783656020943
ISBN (Book)
9783656021179
File size
887 KB
Language
English
Notes
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.
Keywords
international, enforcement, jurisdiction, securities, comparative, analysis, german
Quote paper
Michael Müller (Author), 2011, International Enforcement Jurisdiction in Securities Law, Munich, GRIN Verlag, https://www.grin.com/document/179721

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