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Informationen zum 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. Klappentext Regulation of Securities, Markets, and Transactions A Guide to the New Environment Securities laws, securities regulations, and the rules of self-regulatory organizations are changed often. Some of these changes are driven by the normal course of competition and innovation between and within markets, by advances in the technologies that support the operations of markets, or by the global integration of markets. Other changes, such as those that followed the banking turmoil of 2007?2008, are a response to the sudden release of pressures accumulated over a period of years. Regulation of Securities, Markets, and Transactions: A Guide to the New Environment is essential reading for professionals in the banking, insurance, or securities industries; those employed in companies that have issued publicly owned securities; and those employed by a government agency that regulates these industries. With in-depth discussion of the Financial Regulation Act of 2010, this timely resource places critical guidance of the latest regulations for this industry at your fingertips. Adding value beyond a reference, author Patrick Collins defines, describes, and explains domestic securities regulation, preparing professionals to understand the latest securities laws, with coverage of: Securities and the public interest Non-securities laws Accounting capital and regulatory capital Regulation and supervision Regulation of registered entities and persons Objectives-oriented rules for accounting and auditing A useful introductory handbook for broker-dealers, compliance officers, and accountants and attorneys who provide services to the securities industry, Regulation of Securities, Markets, and Transactions is the guide for a thorough understanding of the government regulation of securities, securities markets, and securities transactions in the United States. Zusammenfassung * This book provides a description about the various government regulations of securities, securities markets, and securities transactions. * It defines, describes, and explains U.S. securities regulation. Inhaltsverzeichnis 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 ...
