Essentials of the Dodd-Frank Act

This book provides an executive summary of the newly passed 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.

• One of the first books to provide an executive summary from a compliance perspective
• 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 United States, this timely book succinctly defines, describes, and explains domestic securities regulation for compliance officers, accountants, and broker-dealers.Content:
Chapter 1 Introduction to the Dodd–Frank Act (pages 1–5):
Chapter 2 History and Background (pages 6–14):
Chapter 3 Key Titles and Sections (pages 15–83):
Chapter 4 Institutions Impacted (pages 84–92):
Chapter 5 Dodd–Frank Act Rulemaking (pages 93–103):
Chapter 6 Role of New and Existing Agencies (pages 104–116):
Chapter 7 Global Impact and Implications (pages 117–127):
Chapter 8 Advice for Specific Professions (pages 128–138):
Chapter 9 Relationship with SOX and the Basel Accords (pages 139–143):
Chapter 1 About SOX Institute and the GRC Group (page 181):