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



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

Patrick S. Collins

ISBN: 978-1-118-00856-0 January 2011 384 Pages


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 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 of Securities.

Registration of Entities and Persons.

Issuers of Securities.

Self-Regulatory Organizations.

Registered Self-Regulatory Organizations.

Special-Purpose Self-Regulatory Organizations.

Regulation of Registered Entities and Persons.

Chapter 2 Regulation of Non-Registered Entities and Persons.

Non-Securities Laws.

Chapter 3 Accounting and Auditing.



Mark-to-Market Accounting.


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.

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.

Chapter 6 Selected Sections from the Financial Regulation Act of 2010.


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.


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).

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.


Executive Branch of Government.

Legislative Branch of Government.

Judicial Branch of Government.

Agencies of Government.

Self-Regulatory Organizations.

7.7 Accounting Principles and Auditing Standards.

Industry and Professional Associations.

State-Related Organizations.

International Organizations.

Advisory Committees and Informal Groups.

Appendix A References.

Appendix B Websites by Name.

Appendix C Websites by Function.


About the Author.