Regulation of Securities, Markets, and

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).

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
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.

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

Summary

Author Biography

Table of Contents

Supplemental Materials