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…mehr
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.Hinweis: Dieser Artikel kann nur an eine deutsche Lieferadresse ausgeliefert werden.
Dr. Liam Collins is the executive director of the Madison Policy Forum, a senior fellow with New America, and a permanent member with the Council on Foreign Relations. Colonel (retired) Collins served in the US Army for 27 years. As a career Special Forces officer, he conducted multiple operational and combat deployments to Afghanistan, Iraq, Bosnia, South America, and the Horn of Africa. In Iraq, Liam conducted operations in Baghdad, Fallujah, Ramadi, and many other cities. Liam retired from the military in 2019 as the founding director of the Modern War Institute and the director of the Department of Military Instruction at the United States Military Academy at West Point. He holds a Bachelor of Science degree in Mechanical Engineering (Aerospace) from the United States Military Academy, and a Master's in Public Affairs and a PhD from Princeton University's School of Public and International Affairs.
Inhaltsangabe
Preface xvii Chapter 1 Regulation 1 Securities and the Public Interest 1 Meaning of ''Security'' 3 Debt, Equity, and Option Securities 4 Securities Transactions 6 Institutional and Functional Regulation 7 Exclusions and Exemptions 9 Structure of Securities Laws 14 Other Securities Laws 16 Regulatory Objectives 19 Disclosure and Transparency 21 Regulation and Supervision 24 Registration 29 Registration of Securities 30 Registration of Entities and Persons 34 Issuers of Securities 35 Self-Regulatory Organizations 39 Registered Self-Regulatory Organizations 41 Special-Purpose Self-Regulatory Organizations 44 Regulation of Registered Entities and Persons 44 Chapter 2 Regulation of Nonregistered Entities and Persons 62 Introduction 62 Nonsecurities Laws 68 Chapter 3 Accounting and Auditing 78 Introduction 78 Accounting 78 Mark-to-Market Accounting 80 Auditing 81 Objectives-Oriented Rules for Accounting and Auditing 84 Audit Committees 85 Accounting Capital and Regulatory Capital 86 Accountancy Law 87 Chapter 4 Introduction to Notes 88 Public Laws 88 United States Code 89 Code of Federal Regulations 90 Supreme Court Decisions 91 Federal Register 91 SEC Releases 92 Prefixes for SEC Releases 94 Selected Releases by the Securities and Exchange Commission 94 SEC Release 34-16900, 17 JUN 80, 45 FR 41920, 23 JUN 80 94 SEC Release 34-20221, 23 SEP 83, 48 FR 45167, 3 OCT 83 94 SEC Releases 33-7375, 34-38067, and IC-22412, 20 DEC 96, 62 FR 519, 3 JAN 97 95 SEC Release 34-39829, 6 APR 98, 63 FR 17943, 13 APR 98 95 SEC Releases 33-7607, 34-40633, and IC-23520, 3 NOV 98, 63 FR 67331, 4 DEC 98 95 SEC Release 33-7760, 22 OCT 99, 64 FR 61443, 10 NOV 99 95 SEC Releases 33-7801 and 34-42430, 16 FEB 00, 65 FR 8896, 23 FEB 00 95 SEC Release 34-44989, 25 OCT 01, 66 FR 55220, 1 NOV 01 95 SEC Release 34-48545, 25 SEP 03, 68 FR 56656, 1 OCT 03 96 SEC Release 34-51524, 12 APR 05, Administrative Proceeding 3-11892, In the Matter of the New York Stock Exchange Inc. 96 SEC 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 Selected Public Laws 96 Selected United States Code Titles 105 Selected United States Code Sections 105 Selected Code of Federal Regulations Titles 106 Selected Code of Federal Regulations Parts 106 Structure of U.S. Code and Code of Federal Regulations Sections 107 Selected Banking Regulations 109 State Securities Laws 110 Uniform Commercial Code 111 Chapter 5 Notes 112 Chapter 6 Selected Sections from the Financial Regulation Act of 2010 271 Introduction 271 Major Section Headings of the Financial Regulation Act 271 Selected Sections of the Financial Regulation Act 272 Reports Required by the Financial Regulation Act 273 Chapter 7 Sections of Codified Securities Laws 276 Introduction 276 Securities Act (15 USC Sections 77a and following) 277 Trust Indenture Act (15 USC Sections 77aaa and following) 278 Securities Exchange Act (15 USC Sections 78a and following) 279 Securities Investor Protection Act (15 USC Sections 78aaa and following) 281 Investment Company Act (15 USC Sections 80a-1 and following) 281 Investment Advisers Act (15 USC Sections 80b-1 and following) 283 Public Company Accounting Reform and Corporate Responsibility 284 Chapter 8 Organizations 286 Introduction 286 Executive Branch of Government 286 Legislative Branch of Government 287 Judicial Branch of Government 288 Agencies of Government 289 Self-Regulatory Organizations 290 Accounting Principles and Auditing Standards 290 Industry and Professional Associations 291 State-Related Organizations 294 International Organizations 295 Advisory Committees and Informal Groups 298 Appendix A References 301 Appendix B Web Sites by Name 315 Appendix C Web Sites by Function 324 Glossary 334 About the Author 361 Index 363
Preface xvii Chapter 1 Regulation 1 Securities and the Public Interest 1 Meaning of ''Security'' 3 Debt, Equity, and Option Securities 4 Securities Transactions 6 Institutional and Functional Regulation 7 Exclusions and Exemptions 9 Structure of Securities Laws 14 Other Securities Laws 16 Regulatory Objectives 19 Disclosure and Transparency 21 Regulation and Supervision 24 Registration 29 Registration of Securities 30 Registration of Entities and Persons 34 Issuers of Securities 35 Self-Regulatory Organizations 39 Registered Self-Regulatory Organizations 41 Special-Purpose Self-Regulatory Organizations 44 Regulation of Registered Entities and Persons 44 Chapter 2 Regulation of Nonregistered Entities and Persons 62 Introduction 62 Nonsecurities Laws 68 Chapter 3 Accounting and Auditing 78 Introduction 78 Accounting 78 Mark-to-Market Accounting 80 Auditing 81 Objectives-Oriented Rules for Accounting and Auditing 84 Audit Committees 85 Accounting Capital and Regulatory Capital 86 Accountancy Law 87 Chapter 4 Introduction to Notes 88 Public Laws 88 United States Code 89 Code of Federal Regulations 90 Supreme Court Decisions 91 Federal Register 91 SEC Releases 92 Prefixes for SEC Releases 94 Selected Releases by the Securities and Exchange Commission 94 SEC Release 34-16900, 17 JUN 80, 45 FR 41920, 23 JUN 80 94 SEC Release 34-20221, 23 SEP 83, 48 FR 45167, 3 OCT 83 94 SEC Releases 33-7375, 34-38067, and IC-22412, 20 DEC 96, 62 FR 519, 3 JAN 97 95 SEC Release 34-39829, 6 APR 98, 63 FR 17943, 13 APR 98 95 SEC Releases 33-7607, 34-40633, and IC-23520, 3 NOV 98, 63 FR 67331, 4 DEC 98 95 SEC Release 33-7760, 22 OCT 99, 64 FR 61443, 10 NOV 99 95 SEC Releases 33-7801 and 34-42430, 16 FEB 00, 65 FR 8896, 23 FEB 00 95 SEC Release 34-44989, 25 OCT 01, 66 FR 55220, 1 NOV 01 95 SEC Release 34-48545, 25 SEP 03, 68 FR 56656, 1 OCT 03 96 SEC Release 34-51524, 12 APR 05, Administrative Proceeding 3-11892, In the Matter of the New York Stock Exchange Inc. 96 SEC 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 Selected Public Laws 96 Selected United States Code Titles 105 Selected United States Code Sections 105 Selected Code of Federal Regulations Titles 106 Selected Code of Federal Regulations Parts 106 Structure of U.S. Code and Code of Federal Regulations Sections 107 Selected Banking Regulations 109 State Securities Laws 110 Uniform Commercial Code 111 Chapter 5 Notes 112 Chapter 6 Selected Sections from the Financial Regulation Act of 2010 271 Introduction 271 Major Section Headings of the Financial Regulation Act 271 Selected Sections of the Financial Regulation Act 272 Reports Required by the Financial Regulation Act 273 Chapter 7 Sections of Codified Securities Laws 276 Introduction 276 Securities Act (15 USC Sections 77a and following) 277 Trust Indenture Act (15 USC Sections 77aaa and following) 278 Securities Exchange Act (15 USC Sections 78a and following) 279 Securities Investor Protection Act (15 USC Sections 78aaa and following) 281 Investment Company Act (15 USC Sections 80a-1 and following) 281 Investment Advisers Act (15 USC Sections 80b-1 and following) 283 Public Company Accounting Reform and Corporate Responsibility 284 Chapter 8 Organizations 286 Introduction 286 Executive Branch of Government 286 Legislative Branch of Government 287 Judicial Branch of Government 288 Agencies of Government 289 Self-Regulatory Organizations 290 Accounting Principles and Auditing Standards 290 Industry and Professional Associations 291 State-Related Organizations 294 International Organizations 295 Advisory Committees and Informal Groups 298 Appendix A References 301 Appendix B Web Sites by Name 315 Appendix C Web Sites by Function 324 Glossary 334 About the Author 361 Index 363
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