Regulation of Securities, Markets, and Transactions (eBook)

A Guide to the New Environment

Patrick S. Collins (Autor)

eBook Download: PDF | EPUB

2011 | 1. Auflage
384 Seiten
John Wiley & Sons (Verlag)
978-1-118-00856-0 (ISBN)

Infos

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.

Autor

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.

Inhalt

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 andPersons.

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 RegulationsSections.

Selected Banking Regulations.

State Securities Laws.

Uniform Commercial Code.

Chapter 5 Notes.

Chapter 6 Selected Sections from the Financial Regulation Actof 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 andfollowing).

Investment Company Act (15 USC Sections 80a-1 andfollowing).

Investment Advisers Act (15 USC Sections 80b-1 andfollowing).

Public Company Accounting Reform and CorporateResponsibility.

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.

Produkt-Details

• Erscheint lt. Verlag: 17.1.2011
• Reihe/Serie: Wiley Finance Editions
• Reihe/Serie: Wiley Finance Editions
• Sprache: englisch
• Themenwelt: Recht / Steuern ► Allgemeines / Lexika
• Themenwelt: Recht / Steuern ► EU / Internationales Recht
• Themenwelt: Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht
• Themenwelt: Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung
• Schlagworte: Finance & Investments • Finance & Investments Special Topics • Finanz- u. Anlagewesen • Finanzwesen • Spezialthemen Finanz- u. Anlagewesen
• ISBN-10: 1-118-00856-1 / 1118008561
• ISBN-13: 978-1-118-00856-0 / 9781118008560