大学金融英语chapter_23_U.S._Regulation_of_Securities_Markets教材教学课件.pptVIP

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 securities regulator or agency—the 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. ~version 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 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. 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 Terms 1. consideration n. （法律上的）对价 sth. valuable exchanged as part of a contract 2. sub