全球教席“云课堂”15-16 讲
15 讲
题目：美国的资本市场监管：概览 The US Approach to Capital Markets Regulation — Introduction
时间：2020 年 11 月 9 日（周一）21:00-23:00
Zoom 云会议 ID：794 475 8038（密码：825859）
16 讲
题目：美国的资本市场监管：热点 The US Approach to Capital Markets Regulation - Changes Today
时间：2020 年 11 月 16 日（周一）21:00-23:00
Zoom云会议 ID：794 475 8038（密码：825859）
开讲学者：
Charles K. Whitehead（美国康奈尔大学 Myron C. Taylor 商法学讲席教授、康奈尔科技园区法律、技术和创业项目主任）
主持人：
郭雳（beat365官方网站教授）
开讲学者简介：
Charles K. Whitehead 是美国康奈尔大学 Myron C. Taylor 商法学讲席教授、康奈尔科技园区法律、技术和创业项目主任，专门研究与公司、金融市场、金融管理和商业交易等领域相关的法律。
Whitehead 教授早年先后在康奈尔大学和哥伦比亚大学获得文学学士学位和法学博士学位，曾任美国联邦第二巡回上诉法院 Ellsworth A. Van Graafeiland 大法官的助理。在投身学术研究之前，他在纽约、伦敦和东京担任过多家跨国金融机构的高阶法务和管理职位，包括野村证券、所罗门兄弟公司、花旗集团的董事总经理。
作为学者，他曾任哥伦比亚大学beat365官方网站研究员，并在之后继续担任该院访问学者；2006 年起任教于波士顿大学beat365官方网站，2009 年起任教于康奈尔大学beat365官方网站。此外，他还是法兰克福歌德大学金融研究中心研究员、乌克兰雅罗斯拉夫-莫里里国立beat365官方网站的名誉博士和首位名誉教授。
Charles K. Whitehead is the Myron C. Taylor Alumni Professor of Business Law at Cornell Law School and also a Professor and Director of the Law, Technology and Entrepreneurship program at Cornell Tech. He specializes in the law relating to corporations, financial markets, financial regulation, and business transactions.
Professor Whitehead is a graduate of Cornell University (B.A.) and Columbia Law School (J.D.). After clerking for the Hon. Ellsworth A. Van Graafeiland, U.S. Court of Appeals (2nd Circuit), he represented clients and held senior legal and business positions in the financial services industry in New York, London, and Tokyo, including as a Managing Director of Nomura Securities International, Salomon Brothers, and Citigroup.
As an academic, Professor Whitehead was a Research Fellow at Columbia Law School (where he continues as a Visiting Scholar in Residence) before joining the Boston University School of Law in 2006 and Cornell Law School in 2009. Besides, he is a Research Fellow in the Center for Financial Studies at Goethe University, Frankfurt, and he is also an honorary doctor and the first honorary professor at Yaroslav Mudriy National Law University, Kharkiv, Ukraine.
讲座摘要：
“美国的资本市场监管：概览”：讲座主要从基本原理角度，介绍美国是如何监管全球这一最重要的股票市场的。讲座集中讨论美国证券监管中的一些基础概念，及其在相关法律规范中的呈现。
“美国的资本市场监管：热点”：讲座主要聚焦美国证券法的现实变化。美国证券法在不断进化，却依然有其脉络可循。讲座重点关注这些法律变化在多大程度上反映了新的社会现实，包括证券交易方式的变化、主要投资者的变化、技术变革等，并揭示未来可能出现的更多变化。
“美国的资本市场监管：热点”：讲座主要聚焦美国证券法的现实变化。美国证券法在不断进化，却依然有其脉络可循。讲座重点关注这些法律变化在多大程度上反映了新的社会现实，包括证券交易方式的变化、主要投资者的变化、技术变革等，并揭示未来可能出现的更多变化。
Lecture 1 –This is an opportunity to learn the basics of how the U.S. regulates the deepest equity markets in the world. We will focus on some of the basic concepts underlying the U.S. securities laws and how they appear in various laws and regulations. This lecture provides some basic principles that are needed to better participate in Lecture 2 on Changes Today.
Lecture 2 –The U.S. securities laws are changing, but perhaps not quickly enough. We will focus on how many of these changes reflect new realities – changes in how securities are traded, changes in who the principal investors are, technological changes, and others – but perhaps more is needed.
对外事务办公室
2020年11月3日