Who are the agents of financial regulation? Is good (or bad) financial governance merely the work of legislators and regulators? Here Annelise Riles argues that financial governance is made not just through top-down laws and policies but also through the daily use of mundane legal techniques such as collateral by a variety of secondary agents, from legal technicians and retail investors to financiers and academics and even computerized trading programs. Drawing upon her ten years of ethnographic fieldwork in the Japanese derivatives market, Riles explores the uses of collateral in the financial markets as a regulatory device for stabilizing market transactions. How collateral operates, Riles suggests, is paradigmatic of a class of low-profile, mundane, but indispensable activities and practices that are all too often ignored as we think about how markets should work and be governed. Riles seeks to democratize our understanding of legal techniques, and demonstrate how these day-to-day private actions can be reformed to produce more effective forms of market regulation.

A Treatise on the Law Pertaining to Corporate Finance including the financial operations and arrangements of public and private corporations as determined by the courts and statutes of the united states and england by William A. Reid. In two volumes: Volume I

Gilmore, Grant. Security Interests in Personal Property. Boston: Little, Brown & Company, 1965. Two volumes. xxxiv, 651; xiii, 653-1508 pp. Reprinted 1999 by The Lawbook Exchange, Ltd. LCCN 99-10258. ISBN 1-886363-81-1. Cloth. $195. * Written by the late Grant Gilmore, Co-Reporter for Article 9 of the Uniform Commercial Code, this landmark work, often cited, is extremely well respected as an acknowledged authority in this area. Combines an engrossing account of the drafting of Article 9 as it emerged in its final form with important interpretive data relating to security interests. This title is the recipient of both the Order of the Coif and the James Barr Ames award. Now back in print and of continued relevance today.

Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.