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

Collins, Patrick S.

Published by Wiley
ISBN 10: 0470601965 / ISBN 13: 9780470601969
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Synopsis: 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.

From the Inside Flap:

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 20072008, 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.

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Bibliographic Details

Title: Regulation of Securities, Markets, and ...
Publisher: Wiley

Binding: Hardcover
Book Condition: New

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Book Description John Wiley and Sons Ltd, United Kingdom, 2011. Hardback. Book Condition: New. 1. Auflage. 254 x 183 mm. Language: English . Brand New Book. 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. Bookseller Inventory # LIB9780470601969

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Book Description John Wiley and Sons Ltd, United Kingdom, 2011. Hardback. Book Condition: New. 1. Auflage. 254 x 183 mm. Language: English . Brand New Book. 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. Bookseller Inventory # LIB9780470601969

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