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.
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 2007 2008, 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.
About the Author
PATRICK S. COLLINS has over thirty years’ experience in domestic and foreign financial markets. He has worked in the financial futures markets and was a senior officer of securities companies in London, New York, and Hong Kong. In addition, he has been a financial markets consultant, advising banks, broker-dealers, exchanges, settlement facilities, and securities regulators in Argentina, the Czech Republic, Egypt, Hong Kong, India, Russia, South Africa, Thailand, and the United Kingdom.
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