Patrick S. Collins

Regulation of Securities, Markets, and Transactions (eBook, PDF)

A Guide to the New Environment

• Format: PDF

Produktbeschreibung

The ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010 Providing readers with expert coverage of domestic securities regulation, this book fills the need for coverage of securities regulations, defining, describing, and explaining everything professionals need to know about domestic securities regulation. * Examines the current securities rules * Provides an overview of the latest regulations for this industry * Includes a description of the various government regulations of securities markets, and securities transactions Since the corporate scandals of 2002, this industry has seen intense scrutiny of how it is regulated. Regulation of Securities, Markets, and Transactions demystifies the new laws and regulations with straightforward, to-the-point coverage professionals need.

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Produktdetails

• Verlag: John Wiley & Sons
• Seitenzahl: 384
• Erscheinungstermin: 12. Januar 2011
• Englisch
• ISBN-13: 9781118008546
• Artikelnr.: 38231913

Autorenporträt

PATRICK S. COLLINS has over thirty years' experience in domestic and foreign financial markets. He has worked in the financial futures markets and was a senior officer of securities companies in London, New York, and Hong Kong. In addition, he has been a financial markets consultant, advising banks, broker-dealers, exchanges, settlement facilities, and securities regulators in Argentina, the Czech Republic, Egypt, Hong Kong, India, Russia, South Africa, Thailand, and the United Kingdom.

Inhaltsangabe

Preface. Chapter 1 Regulation. Securities and the Public Interest. Meaning
of "Security". Debt, Equity, and Option Securities. Securities
Transactions. Institutional and Functional Regulation. Exclusions and
Exemptions. Structure of Securities Laws. Other Securities Laws. Regulatory
Objectives. Disclosure and Transparency. Regulation and Supervision.
Registration. Registration of Securities. Registration of Entities and
Persons. Issuers of Securities. Self-Regulatory Organizations. Registered
Self-Regulatory Organizations. Special-Purpose Self-Regulatory
Organizations. Regulation of Registered Entities and Persons. Chapter 2
Regulation of Non-Registered Entities and Persons. Non-Securities Laws.
Chapter 3 Accounting and Auditing. Introduction. Accounting. Mark-to-Market
Accounting. Auditing. Objectives-Oriented Rules for Accounting and
Auditing. Audit Committees. Accounting Capital and Regulatory Capital.
Accountancy Law. Chapter 4 Introduction to Notes. Introduction. Public
Laws. United States Code. Code of Federal Regulations. Supreme Court
Decisions. Federal Register. SEC Releases. Prefixes for SEC Releases.
Selected Releases by the Securities and Exchange Commission. Selected
Public Laws. Selected United States Code Titles. Selected United States
Code Sections. Selected Code of Federal Regulations Titles. Selected Code
of Federal Regulations Parts. Structure of U.S. Code and Code of Federal
Regulations Sections. Selected Banking Regulations. State Securities Laws.
Uniform Commercial Code. Chapter 5 Notes. Chapter 6 Selected Sections from
the Financial Regulation Act of 2010. Introduction. Major Section Headings
of the Financial Regulation Act. Selected Sections of the Financial
Regulation Act. Reports Required by the Financial Regulation Act. Chapter 7
Sections of Codified Securities Laws. Introduction. Securities Act (15 USC
Sections 77a and following). Trust Indenture Act (15 USC Sections 77aaa and
following). Securities Exchange Act (15 USC Sections 78a and following).
Securities Investor Protection Act (15 USC Sections 78aaa and following).
Investment Company Act (15 USC Sections 80a-1 and following). Investment
Advisers Act (15 USC Sections 80b-1 and following). Public Company
Accounting Reform and Corporate Responsibility. Chapter 8 Organizations.
Introduction. Executive Branch of Government. Legislative Branch of
Government. Judicial Branch of Government. Agencies of Government.
Self-Regulatory Organizations. 7.7 Accounting Principles and Auditing
Standards. Industry and Professional Associations. State-Related
Organizations. International Organizations. Advisory Committees and
Informal Groups. Appendix A References. Appendix B Websites by Name.
Appendix C Websites by Function. Glossary. About the Author. Index.