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020 _a9781118008560
_q(electronic bk.)
020 _a1118008561
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020 _a9781119200093
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020 _a1119200091
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082 0 4 _a332.63/20973
_222
049 _aMAIN
100 1 _aCollins, Patrick S.,
_d1940-
245 1 0 _aRegulation of securities, markets, and transactions :
_ba guide to the new environment /
_cPatrick S. Collins.
260 _aHoboken, N.J. :
_bWiley,
_c©2011.
300 _a1 online resource (xix, 364 pages).
336 _atext
_btxt
_2rdacontent
337 _acomputer
_bc
_2rdamedia
338 _aonline resource
_bcr
_2rdacarrier
490 1 _aWiley finance ;
_v[585]
504 _aIncludes bibliographical references and index.
520 _a"This book provides a description about the various government regulations of securities, securities markets, and securities transactions. The book defines, describes, and explains U.S. securities regulation. The book will be current as of the signing of the securities reform act (expected to be signed by President Obama in mid-2010). Major parts within the book include: Regulation; Accounting and Auditing; Introduction to Notes; Notes; Sections of Public Laws; Sections of Codified Securities Laws; Organizations. In addition, there will be an extensive reference section, glossary, and list of useful websites (by both name and function)."--
_cProvided by publisher.
588 0 _aPrint version record.
505 8 _a""Registered Self-Regulatory Organizations""""Special-Purpose Self-Regulatory Organizations""; ""Regulation of Registered Entities and Persons""; ""Chapter 2: Regulation of Nonregistered Entities and Persons""; ""Introduction""; ""Nonsecurities Laws""; ""Chapter 3: Accounting and Auditing""; ""Introduction""; ""Accounting""; ""Mark-to-Market Accounting""; ""Auditing""; ""Objectives-Oriented Rules for Accounting and Auditing""; ""Audit Committees""; ""Accounting Capital and Regulatory Capital""; ""Accountancy Law""; ""Chapter 4: Introduction to Notes""; ""Public Laws""; ""United States Code""
505 8 _a""Code of Federal Regulations""""Supreme Court Decisions""; ""Federal Register""; ""SEC Releases""; ""Prefixes for SEC Releases""; ""Selected Releases by the Securities and Exchange Commission""; ""Selected Public Laws""; ""Selected United States Code Titles""; ""Selected United States Code Sections""; ""Selected Code of Federal Regulations Titles""; ""Selected Code of Federal Regulations Parts""; ""Structure of U.S. Code and Code of Federal Regulations Sections""; ""Selected Banking Regulations""; ""State Securities Laws""; ""Uniform Commercial Code""; ""Chapter 5: Notes""
505 8 _a""Chapter 6: Selected Sections from the Financial Regulation Act of 2010""""Introduction""; ""Major Section Headings of the Financial Regulation Act""; ""Selected Sections of the Financial Regulation Act""; ""Reports Required by the Financial Regulation Act""; ""Chapter 7: Sections of Codified Securities Laws""; ""Introduction""; ""Securities Act (15 USC Sections 77a and following)""; ""Trust Indenture Act (15 USC Sections 77aaa and following)""; ""Securities Exchange Act (15 USC Sections 78a and following)""; ""Securities Investor Protection Act (15 USC Sections 78aaa and following)""
505 8 _a""Investment Company Act (15 USC Sections 80a-1 and following)""""Investment Advisers Act (15 USC Sections 80b-1 and following)""; ""Public Company Accounting Reform and Corporate Responsibility""; ""Chapter 8: Organizations""; ""Introduction""; ""Executive Branch of Government""; ""Legislative Branch of Government""; ""Judicial Branch of Government""; ""Agencies of Government""; ""Self-Regulatory Organizations""; ""Accounting Principles and Auditing Standards""; ""Industry and Professional Associations""; ""State-Related Organizations""; ""International Organizations""
650 0 _aSecurities
_zUnited States.
650 0 _aSecurities industry
_xLaw and legislation
_zUnited States.
650 7 _aBUSINESS & ECONOMICS
_xInvestments & Securities
_xGeneral.
_2bisacsh
650 7 _aSecurities.
_2fast
_0(OCoLC)fst01110743
650 7 _aSecurities industry
_xLaw and legislation.
_2fast
_0(OCoLC)fst01110831
651 7 _aUnited States.
_2fast
_0(OCoLC)fst01204155
655 4 _aElectronic books.
776 0 8 _iPrint version:
_aCollins, Patrick S., 1940-
_tRegulation of securities, markets, and transactions.
_dHoboken, N.J. : Wiley, ©2011
_z9780470601969
_w(DLC) 2010039894
_w(OCoLC)664666859
830 0 _aWiley finance series ;
_v585.
856 4 0 _uhttp://onlinelibrary.wiley.com/book/10.1002/9781119200093
_zWiley Online Library
880 0 _6505-00/Zsym
_a""Title Page""; ""Copyright""; ""Preface""; ""Chapter 1: Regulation""; ""Securities and the Public Interest""; ""Meaning of “Security�""; ""Debt, Equity, and Option Securities""; ""Securities Transactions""; ""Institutional and Functional Regulation""; ""Exclusions and Exemptions""; ""Structure of Securities Laws""; ""Other Securities Laws""; ""Regulatory Objectives""; ""Disclosure and Transparency""; ""Regulation and Supervision""; ""Registration""; ""Registration of Securities""; ""Registration of Entities and Persons""; ""Issuers of Securities""; ""Self-Regulatory Organizations""
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