1. Auflage 2011,
384 Seiten, Gebunden, HC gerader Rücken kaschiert, Format (B × H): 183 mm x 260 mm, Gewicht: 921 g
Reihe: Wiley Finance Editions
Verlag: John Wiley & Sons
Collins Regulation of SecuritiesLieferung vom Verlag mit leichten Qualitätsmängeln möglich
Weitere Infos & Material
Chapter 1 Regulation.
Securities and the Public Interest.
Meaning of "Security".
Debt, Equity, and Option Securities.
Institutional and Functional Regulation.
Exclusions and Exemptions.
Structure of Securities Laws.
Other Securities Laws.
Disclosure and Transparency.
Regulation and Supervision.
Registration of Securities.
Registration of Entities and Persons.
Issuers of Securities.
Registered Self-Regulatory Organizations.
Special-Purpose Self-Regulatory Organizations.
Regulation of Registered Entities and Persons.
Chapter 2 Regulation of Non-Registered Entities and Persons.
Chapter 3 Accounting and Auditing.
Objectives-Oriented Rules for Accounting and Auditing.
Accounting Capital and Regulatory Capital.
Chapter 4 Introduction to Notes.
United States Code.
Code of Federal Regulations.
Supreme Court Decisions.
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.
7.7 Accounting Principles and Auditing Standards.
Industry and Professional Associations.
Advisory Committees and Informal Groups.
Appendix A References.
Appendix B Websites by Name.
Appendix C Websites by Function.
About the Author.