Regulation of Securities, Markets, and Transactions
John Wiley & Sons Inc (Verlag)
978-0-470-60196-9 (ISBN)
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.
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.
Preface xvii
Chapter 1 Regulation 1
Securities and the Public Interest 1
Meaning of ‘‘Security’’ 3
Debt, Equity, and Option Securities 4
Securities Transactions 6
Institutional and Functional Regulation 7
Exclusions and Exemptions 9
Structure of Securities Laws 14
Other Securities Laws 16
Regulatory Objectives 19
Disclosure and Transparency 21
Regulation and Supervision 24
Registration 29
Registration of Securities 30
Registration of Entities and Persons 34
Issuers of Securities 35
Self-Regulatory Organizations 39
Registered Self-Regulatory Organizations 41
Special-Purpose Self-Regulatory Organizations 44
Regulation of Registered Entities and Persons 44
Chapter 2 Regulation of Nonregistered Entities and Persons 62
Introduction 62
Nonsecurities Laws 68
Chapter 3 Accounting and Auditing 78
Introduction 78
Accounting 78
Mark-to-Market Accounting 80
Auditing 81
Objectives-Oriented Rules for Accounting and Auditing 84
Audit Committees 85
Accounting Capital and Regulatory Capital 86
Accountancy Law 87
Chapter 4 Introduction to Notes 88
Public Laws 88
United States Code 89
Code of Federal Regulations 90
Supreme Court Decisions 91
Federal Register 91
SEC Releases 92
Prefixes for SEC Releases 94
Selected Releases by the Securities and Exchange Commission 94
SEC Release 34-16900, 17 JUN 80, 45 FR 41920, 23 JUN 80 94
SEC Release 34-20221, 23 SEP 83, 48 FR 45167, 3 OCT 83 94
SEC Releases 33-7375, 34-38067, and IC-22412, 20 DEC 96, 62 FR 519, 3 JAN 97 95
SEC Release 34-39829, 6 APR 98, 63 FR 17943, 13 APR 98 95
SEC Releases 33-7607, 34-40633, and IC-23520, 3 NOV 98, 63 FR 67331, 4 DEC 98 95
SEC Release 33-7760, 22 OCT 99, 64 FR 61443, 10 NOV 99 95
SEC Releases 33-7801 and 34-42430, 16 FEB 00, 65 FR 8896, 23 FEB 00 95
SEC Release 34-44989, 25 OCT 01, 66 FR 55220, 1 NOV 01 95
SEC Release 34-48545, 25 SEP 03, 68 FR 56656, 1 OCT 03 96
SEC Release 34-51524, 12 APR 05, Administrative Proceeding 3-11892, In the Matter of the New York Stock Exchange Inc. 96
SEC Release 34-51808, 9 JUN 05, 70 FR 37495, 37545, and 37595, 29 JUN 05 (corrected by Release 34-51808A, 28 DEC 05, 71 FR 232, 4 JAN 06) 96
Selected Public Laws 96
Selected United States Code Titles 105
Selected United States Code Sections 105
Selected Code of Federal Regulations Titles 106
Selected Code of Federal Regulations Parts 106
Structure of U.S. Code and Code of Federal Regulations Sections 107
Selected Banking Regulations 109
State Securities Laws 110
Uniform Commercial Code 111
Chapter 5 Notes 112
Chapter 6 Selected Sections from the Financial Regulation Act of 2010 271
Introduction 271
Major Section Headings of the Financial Regulation Act 271
Selected Sections of the Financial Regulation Act 272
Reports Required by the Financial Regulation Act 273
Chapter 7 Sections of Codified Securities Laws 276
Introduction 276
Securities Act (15 USC Sections 77a and following) 277
Trust Indenture Act (15 USC Sections 77aaa and following) 278
Securities Exchange Act (15 USC Sections 78a and following) 279
Securities Investor Protection Act (15 USC Sections 78aaa and following) 281
Investment Company Act (15 USC Sections 80a-1 and following) 281
Investment Advisers Act (15 USC Sections 80b-1 and following) 283
Public Company Accounting Reform and Corporate Responsibility 284
Chapter 8 Organizations 286
Introduction 286
Executive Branch of Government 286
Legislative Branch of Government 287
Judicial Branch of Government 288
Agencies of Government 289
Self-Regulatory Organizations 290
Accounting Principles and Auditing Standards 290
Industry and Professional Associations 291
State-Related Organizations 294
International Organizations 295
Advisory Committees and Informal Groups 298
Appendix A References 301
Appendix B Web Sites by Name 315
Appendix C Web Sites by Function 324
Glossary 334
About the Author 361
Index 363
| Reihe/Serie | Wiley Finance Editions |
|---|---|
| Zusatzinfo | Charts: 9 B&W, 0 Color |
| Verlagsort | New York |
| Sprache | englisch |
| Maße | 188 x 262 mm |
| Gewicht | 853 g |
| Themenwelt | Recht / Steuern ► Allgemeines / Lexika |
| Recht / Steuern ► EU / Internationales Recht | |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung | |
| Schlagworte | Finanzwesen • Sicherheiten |
| ISBN-10 | 0-470-60196-5 / 0470601965 |
| ISBN-13 | 978-0-470-60196-9 / 9780470601969 |
| Zustand | Neuware |
| Haben Sie eine Frage zum Produkt? |
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