{"product_id":"regulation-of-securities-markets-and-transactions-a-guide-to-the-new-environment-hardback-9780470601969","title":"Regulation of Securities, Markets, and Transactions; A Guide to the New Environment (Hardback) 9780470601969","description":"\u003cfont face=\"Georgia\"\u003e\r\n\u003cp\u003e\u003cfont size=\"6\"\u003eRegulation of Securities, Markets, and Transactions\u003c\/font\u003e\u003cbr\u003e\r\n\u003cfont size=\"5\"\u003eA Guide to the New Environment\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\r\n\r\n\r\n\u003cp\u003e\u003cfont size=\"4\"\u003ePatrick S. Collins (Author)\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e9780470601969, Wiley\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003eHardback, published 18 February 2011\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e384 pages, Charts: 9 B\u0026amp;W, 0 Color\u003cbr\u003e26.2 x 18.8 x 3.2 cm, 0.853 kg\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\r\n\r\n\r\n\r\n\u003cp align=\"justify\"\u003e\u003cstrong\u003e\u003cfont size=\"3\"\u003e\u003cb\u003eThe ultimate guide to the current rules and regulations that govern the securities industry?including amendments in 2010\u003c\/b\u003e \u003cp\u003eProviding 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.\u003c\/p\u003e \u003cul\u003e \u003cli\u003eExamines the current securities rules\u003c\/li\u003e \u003cli\u003eProvides an overview of the latest regulations for this industry\u003c\/li\u003e \u003cli\u003eIncludes a description of the various government regulations of securities markets, and securities transactions\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eSince 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.\u003c\/p\u003e\u003c\/font\u003e\u003c\/strong\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003e\u003cp\u003ePreface xvii\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 1 Regulation 1\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eSecurities and the Public Interest 1\u003c\/p\u003e \u003cp\u003eMeaning of ‘‘Security’’ 3\u003c\/p\u003e \u003cp\u003eDebt, Equity, and Option Securities 4\u003c\/p\u003e \u003cp\u003eSecurities Transactions 6\u003c\/p\u003e \u003cp\u003eInstitutional and Functional Regulation 7\u003c\/p\u003e \u003cp\u003eExclusions and Exemptions 9\u003c\/p\u003e \u003cp\u003eStructure of Securities Laws 14\u003c\/p\u003e \u003cp\u003eOther Securities Laws 16\u003c\/p\u003e \u003cp\u003eRegulatory Objectives 19\u003c\/p\u003e \u003cp\u003eDisclosure and Transparency 21\u003c\/p\u003e \u003cp\u003eRegulation and Supervision 24\u003c\/p\u003e \u003cp\u003eRegistration 29\u003c\/p\u003e \u003cp\u003eRegistration of Securities 30\u003c\/p\u003e \u003cp\u003eRegistration of Entities and Persons 34\u003c\/p\u003e \u003cp\u003eIssuers of Securities 35\u003c\/p\u003e \u003cp\u003eSelf-Regulatory Organizations 39\u003c\/p\u003e \u003cp\u003eRegistered Self-Regulatory Organizations 41\u003c\/p\u003e \u003cp\u003eSpecial-Purpose Self-Regulatory Organizations 44\u003c\/p\u003e \u003cp\u003eRegulation of Registered Entities and Persons 44\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 2 Regulation of Nonregistered Entities and Persons 62\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 62\u003c\/p\u003e \u003cp\u003eNonsecurities Laws 68\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 3 Accounting and Auditing 78\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 78\u003c\/p\u003e \u003cp\u003eAccounting 78\u003c\/p\u003e \u003cp\u003eMark-to-Market Accounting 80\u003c\/p\u003e \u003cp\u003eAuditing 81\u003c\/p\u003e \u003cp\u003eObjectives-Oriented Rules for Accounting and Auditing 84\u003c\/p\u003e \u003cp\u003eAudit Committees 85\u003c\/p\u003e \u003cp\u003eAccounting Capital and Regulatory Capital 86\u003c\/p\u003e \u003cp\u003eAccountancy Law 87\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 4 Introduction to Notes 88\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003ePublic Laws 88\u003c\/p\u003e \u003cp\u003eUnited States Code 89\u003c\/p\u003e \u003cp\u003eCode of Federal Regulations 90\u003c\/p\u003e \u003cp\u003eSupreme Court Decisions 91\u003c\/p\u003e \u003cp\u003eFederal Register 91\u003c\/p\u003e \u003cp\u003eSEC Releases 92\u003c\/p\u003e \u003cp\u003ePrefixes for SEC Releases 94\u003c\/p\u003e \u003cp\u003eSelected Releases by the Securities and Exchange Commission 94\u003c\/p\u003e \u003cp\u003eSEC Release 34-16900, 17 JUN 80, 45 FR 41920, 23 JUN 80 94\u003c\/p\u003e \u003cp\u003eSEC Release 34-20221, 23 SEP 83, 48 FR 45167, 3 OCT 83 94\u003c\/p\u003e \u003cp\u003eSEC Releases 33-7375, 34-38067, and IC-22412, 20 DEC 96, 62 FR 519, 3 JAN 97 95\u003c\/p\u003e \u003cp\u003eSEC Release 34-39829, 6 APR 98, 63 FR 17943, 13 APR 98 95\u003c\/p\u003e \u003cp\u003eSEC Releases 33-7607, 34-40633, and IC-23520, 3 NOV 98, 63 FR 67331, 4 DEC 98 95\u003c\/p\u003e \u003cp\u003eSEC Release 33-7760, 22 OCT 99, 64 FR 61443, 10 NOV 99 95\u003c\/p\u003e \u003cp\u003eSEC Releases 33-7801 and 34-42430, 16 FEB 00, 65 FR 8896, 23 FEB 00 95\u003c\/p\u003e \u003cp\u003eSEC Release 34-44989, 25 OCT 01, 66 FR 55220, 1 NOV 01 95\u003c\/p\u003e \u003cp\u003eSEC Release 34-48545, 25 SEP 03, 68 FR 56656, 1 OCT 03 96\u003c\/p\u003e \u003cp\u003eSEC Release 34-51524, 12 APR 05, Administrative Proceeding 3-11892, In the Matter of the New York Stock Exchange Inc. 96\u003c\/p\u003e \u003cp\u003eSEC 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\u003c\/p\u003e \u003cp\u003eSelected Public Laws 96\u003c\/p\u003e \u003cp\u003eSelected United States Code Titles 105\u003c\/p\u003e \u003cp\u003eSelected United States Code Sections 105\u003c\/p\u003e \u003cp\u003eSelected Code of Federal Regulations Titles 106\u003c\/p\u003e \u003cp\u003eSelected Code of Federal Regulations Parts 106\u003c\/p\u003e \u003cp\u003eStructure of U.S. Code and Code of Federal Regulations Sections 107\u003c\/p\u003e \u003cp\u003eSelected Banking Regulations 109\u003c\/p\u003e \u003cp\u003eState Securities Laws 110\u003c\/p\u003e \u003cp\u003eUniform Commercial Code 111\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 5 Notes 112\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 6 Selected Sections from the Financial Regulation Act of 2010 271\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 271\u003c\/p\u003e \u003cp\u003eMajor Section Headings of the Financial Regulation Act 271\u003c\/p\u003e \u003cp\u003eSelected Sections of the Financial Regulation Act 272\u003c\/p\u003e \u003cp\u003eReports Required by the Financial Regulation Act 273\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 7 Sections of Codified Securities Laws 276\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 276\u003c\/p\u003e \u003cp\u003eSecurities Act (15 USC Sections 77a and following) 277\u003c\/p\u003e \u003cp\u003eTrust Indenture Act (15 USC Sections 77aaa and following) 278\u003c\/p\u003e \u003cp\u003eSecurities Exchange Act (15 USC Sections 78a and following) 279\u003c\/p\u003e \u003cp\u003eSecurities Investor Protection Act (15 USC Sections 78aaa and following) 281\u003c\/p\u003e \u003cp\u003eInvestment Company Act (15 USC Sections 80a-1 and following) 281\u003c\/p\u003e \u003cp\u003eInvestment Advisers Act (15 USC Sections 80b-1 and following) 283\u003c\/p\u003e \u003cp\u003ePublic Company Accounting Reform and Corporate Responsibility 284\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 8 Organizations 286\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 286\u003c\/p\u003e \u003cp\u003eExecutive Branch of Government 286\u003c\/p\u003e \u003cp\u003eLegislative Branch of Government 287\u003c\/p\u003e \u003cp\u003eJudicial Branch of Government 288\u003c\/p\u003e \u003cp\u003eAgencies of Government 289\u003c\/p\u003e \u003cp\u003eSelf-Regulatory Organizations 290\u003c\/p\u003e \u003cp\u003eAccounting Principles and Auditing Standards 290\u003c\/p\u003e \u003cp\u003eIndustry and Professional Associations 291\u003c\/p\u003e \u003cp\u003eState-Related Organizations 294\u003c\/p\u003e \u003cp\u003eInternational Organizations 295\u003c\/p\u003e \u003cp\u003eAdvisory Committees and Informal Groups 298\u003c\/p\u003e \u003cp\u003eAppendix A References 301\u003c\/p\u003e \u003cp\u003eAppendix B Web Sites by Name 315\u003c\/p\u003e \u003cp\u003eAppendix C Web Sites by Function 324\u003c\/p\u003e \u003cp\u003eGlossary 334\u003c\/p\u003e \u003cp\u003eAbout the Author 361\u003c\/p\u003e \u003cp\u003eIndex 363\u003c\/p\u003e\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\u003cp\u003e\u003cfont size=\"3\"\u003eSubject Areas: Finance \u0026amp; accounting [\u003ca title=\"See our other books on Finance \u0026amp; accounting\" href=\"https:\/\/freshlyprintedbooks.co.uk\/search?q=%22Finance%20\u0026amp;%20accounting%20%5BKF%5D%22\"\u003eKF\u003c\/a\u003e]\u003c\/font\u003e\u003c\/p\u003e\r\n\r\n\r\n\u003c\/font\u003e","brand":"Wiley","offers":[{"title":"Brand New","offer_id":52276368605464,"sku":"9780470601969","price":49.59,"currency_code":"GBP","in_stock":true}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/0730\/2037\/5320\/files\/9780470601969.jpg?v=1781367784","url":"https:\/\/freshlyprintedbooks.co.uk\/products\/regulation-of-securities-markets-and-transactions-a-guide-to-the-new-environment-hardback-9780470601969","provider":"Freshly Printed Books","version":"1.0","type":"link"}