Investor Protection in Light of the Dodd-Frank Act

Buch | Hardcover

203 Seiten

2011
Nova Science Publishers Inc (Verlag)
978-1-61324-245-2 (ISBN)

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Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act deals with investor protection and securities regulation. This book provides brief summaries of selected provisions in Title IX and attempts to include these provisions that create SEC authority.

Title IX of the Dodd-Frank Wall Street Reform and Consumer Protection Act deals with investor protection and securities regulation. Parts of Title IX address aspects of the securities markets that are commonly viewed as directly involved in the financial crisis, such as credit ratings and securitisation. In particular, the Madoff and Standard Ponzi schemes, discovered in late 2008 and early 2009, raised questions about the quality of regulation by the Securities and Exchange Commission (SEC). As a result, numerous provisions in Title IX address the SEC's performance and resources. This book provides brief summaries of selected provisions in Title IX and attempts to include these provisions that create new SEC authority, that were controversial during the legislative process and appear to have far-reaching consequences for the regulation of securities markets.

Preface; Study on Investment Advisers & Broker-Dealers; The Dodd-Frank Act Wall Street Reform & Consumer Protection Act: Title IX, Investor Protection; Securities Investor Protection Corporation (SIPC): Basic Functions & Fairness & Adequacy Issues; Index.

Verlagsort	New York
Sprache	englisch
Maße	260 x 180 mm
Gewicht	578 g
Themenwelt	Recht / Steuern ► EU / Internationales Recht
	Recht / Steuern ► Privatrecht / Bürgerliches Recht ► Besonderes Schuldrecht
	Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung
ISBN-10	1-61324-245-X / 161324245X
ISBN-13	978-1-61324-245-2 / 9781613242452
Zustand	Neuware