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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

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.

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.


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.