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by Patrick S. Collins (Author)
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.
Front Jacket
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.
Back Jacket
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.
Author Biography
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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Shipping information
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Returns & Refunds
We want you to shop with confidence at STORE 7994. If your purchase does not meet expectations, eligible items may be returned under the conditions below.
Return Eligibility
Items must be unused, unworn, and in original condition with all tags, packaging, and accessories included. Items showing any signs of wear or damage will not be accepted.
Return Window
Return requests must be made within 14 days of delivery.
Return Shipping
Customers are responsible for return shipping costs unless the item is defective, damaged, or incorrect.
Luxury Items
Items valued over $1,000 may be subject to a 7% restocking fee upon approved return.
Non-Returnable Items
For hygiene and product integrity reasons, the following items are final sale once opened or used:
• Underwear
• Fragrances
• Any worn or used items
Made-to-Order Items
Custom-designed products, including STORE 7994 hoodies, are made exclusively for each customer and are final sale. These items are not eligible for return or exchange unless defective or incorrect.
If you receive a defective or incorrect item, please contact us and we will make it right.
International Shipping & Duties
Many of our products ship directly from trusted international partners. Any applicable customs duties or import taxes are calculated at checkout and are non-refundable, even if the item is returned.
Returns & Associated Fees
All approved returns are subject to a $24 return processing fee. For international orders, duties, taxes, and return fees will be deducted from the original payment.
Shipping Policy
Complimentary shipping is offered on orders over $300. Orders below this threshold are subject to standard shipping rates at checkout.
