2019年大学金融英语chapter 23 U.S. Regulation of Securities Markets.ppt
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1、Chapter Twenty-Three,U.S. Regulation of Securities Markets,Learning objectives,After studying this chapter you should be able to: 1. Give a statutory definition of securities 2. Tell the principle objectives of regulating securities business or markets 3. Make a brief introduction to the major secur
2、ities regulator or agencythe SEC 4. List the milestone legislation for regulating U.S. securities industry,Notes,I. New Words 1. to defraud vt. 进行诈骗to deceive so as to get or keep sth. wrongly and usu. unlawfully 2. loanable a. 可借出的 e.g. funds 可借出的资金 3. intrastate a. (美)州内的 4. interstate a. (美)州与州之间
3、的 5. to contain vt. 包含 6. to assess vt. 确定金额 e.g. assess penalties 确定罚款金额 7. watchdog n. 监察人 8. amendment n. 修订 e.g. to the Act 对该法的修订,Notes,9. jurisdiction n. 管辖权 e.g. under the SEC在(美)证券交易委员会的管辖下 10. tax-exempt a. 可免税的 11. terms n. 条款 e.g. the s of the contract 合同条款 12. condensed a. 压缩的 e.g. versi
4、on 压缩的描述 13. to distribute vt. 分发to divide among several or many 14. custodian n. 管理人,保管人 15. unscrupulous a. 不讲道德的,不审慎的 16. milestone n. 里程碑 17. outlaw vt. 宣告不合法,Notes,II. Useful and Idiomatic Expressions 1. to enter the picture 牵连进去to come into the picture 2. to file. with. 向提出/提交 e.g. to file an
5、application with the authorities 向当局提出/提交申请 3. to bring a legal action 起诉=to sue 4. to be listed on the New York Stock Exchange 在纽约证交所挂牌上市 5. to appeal to. 向上诉,上诉到 6. to keep a watchful eye on. 警惕密切注意 7. to come in one of two forms 以两种形式中的一种出现 8. to give out 公布 e.g. false information 公布虚假信息,Notes,9.
6、 to bring. under jurisdiction 使纳入管辖 10. to keep track of. 记录 11. be enforceable at law 法律上可强制执行的 12. by virtue of. 凭借,由于 13. by law 按照法律 14. to register with the SEC 向证券交易委员会登记注册 15. to pass profits on to. 将利润发放给 16. to pass legislation 通过立法 17. to catch on 变得流行起来=to become popular,Notes,III. Key Te
7、rms 1. consideration n. (法律上的)对价 sth. valuable exchanged as part of a contract 2. subscription agreement 认购协议 3. depository receipts 存款单 4. blue-sky laws (美)州的证券法 securities laws enacted by most states 5. the secretary of state 小写时表示美国州一级管证券市场的主管官员,大写表示美国国务卿 6. care agreements 照管协议 7. securities pro
8、moters 证券创办人 8. new stock or bond issue 新股票或债券的发行,Notes,9. registration statement 注册说明书information about a firms financial condition, management, competition, industry, and experience that must be filed with the SEC prior to the sale to the public of any security with a maturity of more than 270 day
9、s 10. prospectus n. 招股章程/募债说明书=a portion of a security legislation statement that is filed with the SEC and made available to potential purchasers of a security 11. brokerage firms 经纪人商行 12. Wall Street 华尔街(1)the street in New York in which the New York Stock Exchange is situated; (2)The New York St
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