Regulation of Securities, Markets, and Transactions ：A Guide to the New Environment ( Wiley Finance )

Publication subTitle ：A Guide to the New Environment

Publication series ：Wiley Finance

Author： Patrick S. Collins  

Publisher： John Wiley & Sons Inc‎

Publication year： 2011

E-ISBN: 9781118008546

P-ISBN(Hardback):  9780470601969

Subject： F8 Finances

Language： ENG

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Description

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.

Chapter

Contents

pp.：  1 – 5

Preface

pp.：  5 – 19

1: Regulation

pp.：  19 – 23

2: Regulation of Nonregistered Entities and Persons

pp.：  23 – 84

3: Accounting and Auditing

pp.：  84 – 100

4: Introduction to Notes

pp.：  100 – 110

5: Notes

pp.：  110 – 134

6: Selected Sections from the Financial Regulation Act of 2010

pp.：  134 – 293

7: Sections of Codified Securities Laws

pp.：  293 – 298

8: Organizations

pp.：  298 – 308

APPENDIX A: References

pp.：  308 – 323

APPENDIX B: Web Sites by Name

pp.：  323 – 337

APPENDIX C: Web Sites by Function

pp.：  337 – 346

Glossary

pp.：  346 – 356

About the Author

pp.：  356 – 383

Index

pp.：  383 – 385

LastPages

pp.：  385 – 386

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