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

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

Regulation of Securities, Markets, and Transactions brings practical clarity to a complex topic, providing a comprehensive, logically structured approach to government regulation of securities, securities markets, and securities transactions in the United States.

Informative and clear, this refreshingly readable book demonstrates author Patrick Collins's deep understanding of the current rules and regulations that govern the securities industry, most notably, the Financial Regulation Act of 2010.

This timely book provides broker-dealers, compliance officers, and accountants and attorneys who provide services to the securities industry with relevant coverage of:

• A basic understanding of regulation

• How securities laws apply to entities and persons not required to be registered with the SEC

• How non-securities laws apply to the securities industry

• Why regulation is closely connected with the financial statements prepared by the issuers of securities

The area of securities regulation will continue to evolve and bring about business and cultural change. Regulation of Securities, Markets, and Transactions is your must-have, must-own guide to regulation implementation and an effective tool and reference for every compliance officer.