●Risk management ●Asset Management (三)思考与实践 1.Why Investment Banking Firms create and trade risk control instruments? 2.What roles do investment bankers play in mergers acquisitions? (四)教学方法与手段 本章主要采用课堂讲授、多媒体教学和课堂讨论的教学方法和手段。 第7章Primary and Secondary Markets (一)目的与要求 1.How doesthe SEC regulate new issued securities 2.What is a registration statement 3.What is a shelf registration(rule 415) 4.What is a traditional private placement offering 5.What is Rule 144A and its potential impact on private placement market 6.Bought deal underwriting for a bond issue and why it's used 7.Competitive bidding underwriting 8.Preemptive rights offering 9.What is the secondary market and its need 10.What are order and quote driven markets 11.The requirements of a perfect market 12.Why do actual markets differ from perfect markets 13.Types oforders,margins and shorts 14 What is securities finance 15.What is the market maker and costs 16.Operational efficiency of a market 17.What is pricing efficiency and the different forms 18.What are the implications of pricing efficiency 19.What are transaction costs (二)教学内容 第1节Primary Markets 1.主要内容 o Regulation of Issuance of Securities Rule 415:Shelf Registration Rule ●Private Placement9 ⚫ Risk management ⚫ Asset Management （三）思考与实践 1. Why Investment Banking Firms create and trade risk control instruments? 2. What roles do investment bankers play in mergers & acquisitions? （四）教学方法与手段 本章主要采用课堂讲授、多媒体教学和课堂讨论的教学方法和手段。 第 7 章 Primary and Secondary Markets （一）目的与要求 1. How does the SEC regulate new issued securities 2. What is a registration statement 3. What is a shelf registration (rule 415) 4. What is a traditional private placement offering 5. What is Rule 144A and its potential impact on private placement market 6. Bought deal underwriting for a bond issue and why it’s used 7. Competitive bidding underwriting 8. Preemptive rights offering 9. What is the secondary market and its need 10. What are order and quote driven markets 11. The requirements of a perfect market 12. Why do actual markets differ from perfect markets 13. Types of orders, margins and shorts 14. What is securities finance 15. What is the market maker and costs 16. Operational efficiency of a market 17. What is pricing efficiency and the different forms 18. What are the implications of pricing efficiency 19. What are transaction costs （二）教学内容 第 1 节 Primary Markets 1. 主要内容 ⚫ Regulation of Issuance of Securities ⚫ Rule 415: Shelf Registration Rule ⚫ Private Placement