Essentials of the Dodd-Frank Act

By Sanjay Anand, CFE

This book’s author is a CFE

Cover of the book Essentials of the Dodd-Frank Act


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

This book's author is a CFE.
Label Value
ISBN 978-0-470-95233-7
Publisher John Wiley & Sons Pubishing
Published Copyright 2011
Pages 185
Format Hardcover

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

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