Regulation of securities, markets, and transactions : a guide to the new environment / Patrick S. Collins.

Format:

Book

Author/Creator:

Collins, Patrick S., 1940-

Series:

Wiley Finance

Wiley finance ; 585

Language:

English

Subjects (All):

Securities--United States.

Securities.

Securities industry--Law and legislation--United States.

Securities industry.

Physical Description:

1 online resource (386 p.)

Edition:

1st ed.

Place of Publication:

Hoboken, N.J. : Wiley, 2011.

Language Note:

English

Summary:

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

Contents:

Regulation of Securities, Markets, and Transactions: A Guide to the New Environment; Contents; Preface; 1: Regulation; SECURITIES AND THE PUBLIC INTEREST; MEANING OF ''SECURITY''; DEBT, EQUITY, AND OPTION SECURITIES; Debt Securities; Equity Securities; Option Securities; SECURITIES TRANSACTIONS; INSTITUTIONAL AND FUNCTIONAL REGULATION; Institutional Regulation; Functional Regulation; International Regulation; EXCLUSIONS AND EXEMPTIONS; Securities Exclusions and Exemptions; Accredited Investors and Qualified Institutional Buyers; Other Exclusion and Exemptions; STRUCTURE OF SECURITIES LAWS

Primary-Market and Secondary-Market Laws Securities-Registration and Markets-Regulation Laws; OTHER SECURITIES LAWS; Investment-Management Law; Securities-Account Insurance Law; Securities-Regulation Agency Law; REGULATORY OBJECTIVES; Investor Protection; Fair and Orderly Markets; Control of Systemic Risk; Competition; DISCLOSURE AND TRANSPARENCY; Disclosure of Information; Transparency of Markets; REGULATION AND SUPERVISION; Regulation; Supervision; Control; Consolidated Supervision; Penalties for Securities-Law Violations; REGISTRATION; REGISTRATION OF SECURITIES

Securities Registration and Reporting by Issuers Public Primary Markets; Public Secondary Markets; Government Securities; REGISTRATION OF ENTITIES AND PERSONS; ISSUERS OF SECURITIES; Governance Standards; Internal Controls; Periodic and Event-Driven Reporting; Solicitation of Proxies; SELF-REGULATORY ORGANIZATIONS; REGISTERED SELF-REGULATORY ORGANIZATIONS; Broker-Dealer Association SROs; Exchange SROs; Settlement-Facility SROs; SPECIAL-PURPOSE SELF-REGULATORY ORGANIZATIONS; REGULATION OF REGISTERED ENTITIES AND PERSONS; Auditors; Broker-Dealer Associations; Brokers and Dealers

Credit - Rating Companies Exchanges; Investment Advisers; Investment Companies; Securities-Information Processors; Settlement Facilities; Transfer Agents; Obligations of Registered Entities; 2: Regulation of Non-registered Entities and Persons; INTRODUCTION; Attorneys; Issuers of Securities; Disclosures by Beneficial Owners of Securities; Short-Term Trading Profits; Solicitation of Proxies; Disclosures of Large Positions in Securities; Insider Trading; Private Litigation; Borrowers and Lenders of Money in Margin Transactions; NON-SECURITIES LAWS; Property Rights; Accountancy Law; Arbitration Law

Banking Law Bankruptcy Law; Commercial Law; Commodity-Transactions Law; Company, Corporation, and Partnership Laws; Competition Law; Insurance Law; Retirement -Savings Law; Tax Law; Treasury Law; 3: Accounting and Auditing; INTRODUCTION; ACCOUNTING; Accounting Principles; Accounting Policies; MARK-TO-MARKET ACCOUNTING; AUDITING; Auditing Standards; Independence of Auditors; Financial Statements; Illegal Activities; OBJECTIVES-ORIENTED RULES FOR ACCOUNTING AND AUDITING; AUDIT COMMITTEES; ACCOUNTING CAPITAL AND REGULATORY CAPITAL; ACCOUNTANCY LAW; 4: Introduction to Notes; PUBLIC LAWS

UNITED STATES CODE

Notes:

Includes index.

ISBN:

9786613026255

9781119200093

1119200091

9781283026253

1283026252

9781118008560

1118008561

9781118008546

1118008545

OCLC:

784881925