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Investor Protection in Light of the Dodd-Frank Act $320.00
Editors: Caroline S. Jensen
Book Description:
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 securitization. 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. (Imprint: Nova)

Table of Contents:

Study on Investment Advisers and Broker-Dealers
(U.S. Securities and Exchange Commission)

The Dodd-Frank Act Wall Street Reform and Consumer Protection Act: Title IX, Investor Protection
(Mark Jickling)

Securities Investor Protection Corporation (SIPC): Basic Functions and Fairness and Adequacy Issues
(Gary Shorter)


      Business Issues, Competition and Entrepreneurship
   Binding: ebook
   Pub. Date: 2011
   Pages: 7 x 10 (NBC - G)
   ISBN: 978-1-53611-641-0
   Status: AV
Status Code Description
AN Announcing
FM Formatting
PP Page Proofs
FP Final Production
EP Editorial Production
PR At Prepress
AP At Press
AV Available
Available Options:
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Investor Protection in Light of the Dodd-Frank Act