Essentials of the Dodd-Frank Act



BY SANJAY ANAND, CFE


Description

This book provides an executive summary of the Financial Regulations Act. It examines the most important sections of the Act, how it impacts the financial industry, as well as what executives must know and do in order to comply with the Act. 

  • Presents responsibilities of senior level executives regarding this new Act
  • Reveals what has changed within the regulatory environment
  • Provides tips and techniques throughout
Describing the government regulation of securities, securities markets, and securities transactions in the U.S., this timely book succinctly defines, describes and explains domestic securities regulation for compliance officers, accountants and broker-dealers.




Product Details

COPYRIGHT 2011
ISBN 978-0-470-95233-7
Hardcover, 185 PAGES
JOHN WILEY & SONS PUBLISHING

Table of Contents:


  • Chapter 1: Introduction to the Dodd-Frank Act
  • Chapter 2: History and Background
  • Chapter 3: Key Titles and Sections
  • Chapter 4: Institutions Impacted
  • Chapter 5: Dodd-Frank Act Rulemakings
  • Chapter 6: Role of New and Existing Agencies
  • Chapter 7: Global Impact and Implications
  • Chapter 8: Advice for Specific Professions
  • Chapter 9: Relationship with SOX and the Basel Accords