Regulation of Securities, Markets, and Transactions A Guide to the New Environment

by Collins, Patrick S.

• ISBN13: 9780470601969
• ISBN10: 0470601965
• Edition: 1st
• Format: Hardcover
• Copyright: 2011-01-25
• Publisher: Wiley

Summary

This book provides a description about the various government regulations of securities, securities markets, and securities transactions. The book defines, describes, and explains U.S. securities regulation. The book will be current as of the signing of the securities reform act (expected to be signed by President Obama in mid-2010). Major parts within the book include: Regulation; Accounting and Auditing; Introduction to Notes; Notes; Sections of Public Laws; Sections of Codified Securities Laws; Organizations. In addition, there will be an extensive reference section, glossary, and list of useful websites (by both name and function).

Author Biography

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.

Table of Contents

Preface

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

Regulation of Non-Registered Entities and Persons

Non-Securities Laws

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

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

Notes

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

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

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

References

Websites by Name

Websites by Function

Glossary

About the Author

Index

Table of Contents provided by Publisher. All Rights Reserved.