Investor Protection in Light of the Dodd Frank Act

Investor Protection in Light of the Dodd Frank Act

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 ...

Author: Caroline S. Jensen

Publisher: Nova Science Pub Incorporated

ISBN: 161324245X

Category: Business & Economics

Page: 203

View: 980

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.
Categories: Business & Economics

Assessing the Limitations of the Securities Investor Protection Act

Assessing the Limitations of the Securities Investor Protection Act

Since then , we have enacted the Dodd - Frank Wall Street Reform and Consumer Protection Act . Among many other things , this law amended the Securities ...

Author: United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises

Publisher:

ISBN: UCSD:31822037823739

Category: Investment advisors

Page: 165

View: 361

Categories: Investment advisors

Oversight Plans for All House Committees with Accompanying Recommendations

Oversight Plans for All House Committees  with Accompanying Recommendations

The Committee will examine how the Dodd - Frank Act impacts the corporate governance ... and activities of the Securities Investor Protection Corporation ...

Author: United States. Congress. House. Committee on Oversight and Government Reform

Publisher:

ISBN: STANFORD:36105050633036

Category: Legislative oversight

Page:

View: 880

Categories: Legislative oversight

THIRD SEMIANNUAL REPORT ON THE ACTIVITY

THIRD SEMIANNUAL REPORT ON THE ACTIVITY

The Committee will examine the DoddFrank Act's mandate that advisers to private funds ... and activities of the Securii ties Investor Protection Corporation ...

Author:

Publisher:

ISBN: STANFORD:36105050612980

Category:

Page:

View: 454

Categories:

Semiannual Report on the Activities of the Committee on Financial Services of the House of Representatives During the Congress Pursuant to Clause 1 d Rule XI of the House of Representatives

Semiannual Report on the Activities of the Committee on Financial Services of the House of Representatives During the     Congress Pursuant to Clause 1 d  Rule XI of the House of Representatives

The Committee will examine the DoddFrank Act's mandate that advisers to private funds ... and activities of the Securities Investor Protection Corporation ...

Author: United States. Congress. House. Committee on Financial Services

Publisher:

ISBN: UCR:31210020475685

Category:

Page:

View: 994

Categories:

Report on the Activity of the Committee on Financial Services for the Congress

Report on the Activity of the Committee on Financial Services for the     Congress

The Committee will examine the DoddFrank Act's mandate that advisers to private funds ... and activities of the Securities Investor Protection Corporation ...

Author: United States. Congress. House. Committee on Financial Services

Publisher:

ISBN: UCR:31210020564066

Category:

Page:

View: 941

Categories:

SEC Docket

SEC Docket

The Dodd - Frank Act authorizes the Investor Advisory Committee to submit ... Balancing Investor Protection , Capital Formation ind Market Integrity .

Author: United States. Securities and Exchange Commission

Publisher:

ISBN: OSU:32437123433407

Category: Securities

Page:

View: 878

Categories: Securities

Enhanced Investor Protection After the Financial Crisis

Enhanced Investor Protection After the Financial Crisis

By passing and signing the Dodd - Frank legislation into law , President Obama and Congress signaled the beginning of a new era of investor protection and ...

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs

Publisher:

ISBN: MINN:31951D03586527M

Category: Securities

Page: 128

View: 239

Categories: Securities

Annual Activity Report of the Committee on Financial Services of the United States House of Representatives for the Period

Annual Activity Report of the Committee on Financial Services of the United States House of Representatives for the Period

of care applicable to broker - dealers and investment advisers when providing ... the Dodd - Frank Act impacts the corporate governance practices of all ...

Author: United States. Congress. House. Committee on Financial Services

Publisher:

ISBN: STANFORD:36105050652366

Category:

Page:

View: 127

Categories:

Institutional Money Management

Institutional Money Management

Third, the chapter describes how the Dodd-Frank Wall Street Reform and Investor Protection Act of 2010 handled the tension between the arguments for light ...

Author: David M. Smith

Publisher: John Wiley & Sons

ISBN: 9781118148761

Category: Business & Economics

Page: 416

View: 878

Categories: Business & Economics

Dodd Frank Wall Street Reform and Consumer Protection Act

Dodd   Frank Wall Street Reform and Consumer Protection Act

But seen in the light of more recent history, DoddFrank represents ... piece of securities legislation insofar as it focused on investor protection.

Author: Douglas D Evanoff

Publisher: World Scientific

ISBN: 9789814590051

Category: Business & Economics

Page: 320

View: 118

In this volume, what are thought to be some of the more important aspects of the Dodd–Frank Act are discussed from a number of perspectives, including that of industry scholars who have been actively involved in evaluating financial regulation, regulators who are responsible for implementing the reform, financial policy experts representing think tanks and banking trade associations, congressmen and congressional staff involved with developing the legislation, and legal scholars. The volume summarizes the act, evaluates how the new regulations are being implemented and how the implementation process is progressing, and discusses modifications that, in the views of the authors, might be needed to more effectively achieve the stated goals of the legislation. Contents:Introduction and Summary of the Act:The Dodd–Frank Act: An Overview (Douglas D Evanoff and William F Moeller)Critical Assessment of the Act:Regulating Wall Street: The Dodd–Frank Act (Matthew Richardson)Financial Stability via Regulation:Financial Stability Regulation (Daniel K Tarullo)Implementing Dodd-Frank: Identifying and Mitigating Systemic Risk (Mark Van Der Weide)Implementing the Dodd–Frank Act: Progress to Date and Recommendations for the Future (Scott D O'Malia)Dodd–Frank Act Implementation: Well Into It and No Further Ahead (Wayne A Abernathy)Financial Stability via Efficient Failure Resolution:We Must Resolve to End Too-Big-To-Fail (Sheila C Bair)The Orderly Liquidation of Lehman Brothers Holdings Inc. Under the Dodd–Frank Act (Federal Deposit Insurance Corporation)Implementing Dodd–Frank: Orderly Resolution (Martin J Gruenberg)Resolving Globally Active, Systemically Important, Financial Institutions (Federal Deposit Insurance Corporation and the Bank of England)An Alternative View: Financial Stability via Bank Breakups:Do SIFIs Have a Future? (Thomas M Hoenig)Ending Taxpayer-Funded Bailouts: Dodd–Frank Promises More Than It Can Deliver (Richard W Fisher and Harvey Rosenblum)Solving the Too-Big-To-Fail Problem (William C Dudley)Consumer Protection:Partnering: The Consumer Financial Protection Bureau and State Attorneys General (Richard Cordray)Prepared Remarks Before the National Association of Attorneys General (Richard Cordray)The Consumer Financial Protection Bureau: The Solution or the Problem? (Brenden D Soucy)Was Dodd–Frank Necessary? Needed?:The Financial Crisis and “Too-Big-To-Fail” (Barney Frank and the Minority Staff of the House Financial Services Committee)A Dissent From the Majority Report of the Financial Crisis Inquiry Commission (Peter J Wallison) Readership: Financial economists, as reading material for beginner to intermediate courses in Finance and Economics for undergraduates and MBA students, general public, and policy makers interested in the Dodd-Frank Wall Street Reform and Consumer Protection Act (2010). Key Features:A dynamic read on a very topical and controversial subject — the Dodd-Frank ActContributors from various fields and each provides a different perspective of the formation, implementation and improvements for the Dodd-Frank ActBrings together in one volume the relevant people to discuss the most important policy issues affecting the financial services industryCombines both academic and industry positions on the topic in a readable formatKeywords:Dodd-Frank;Financial Regulation;Macroprudential Regulation;Systemic Risk;Volcker Rule;Resolution Authority;Consumer Protection;Central Clearinghouses (CCPs)
Categories: Business & Economics

Management and Structural Reforms at the Securities and Exchange Commission

Management and Structural Reforms at the Securities and Exchange Commission

In light of the Commission's concerns over the potential economic impact of any rulemaking under Section 913 of the Dodd - Frank Act , Chairman Schapiro has ...

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment

Publisher:

ISBN: MINN:31951D03673060M

Category: Securities industry

Page: 79

View: 928

Categories: Securities industry

Oversight of the SEC s Agenda Operations and FY 2014 Budget Request

Oversight of the SEC s Agenda  Operations  and FY 2014 Budget Request

... to improve our regulatory requirements without sacrificing investor protection . ... In light of the Dodd - Frank Act registration requirements and the ...

Author: United States. Congress. House. Committee on Financial Services

Publisher:

ISBN: MINN:31951D03647214J

Category: Electronic books

Page: 110

View: 549

Categories: Electronic books

Federal Register

Federal Register

Services ) , and Rule 3525 ( Audit Dodd - Frank amendments , including by ... to issuer Act.14 The amendments also add the Securities Investor Protection ...

Author:

Publisher:

ISBN: UCR:31210024752600

Category: Delegated legislation

Page:

View: 787

Categories: Delegated legislation

Mergers and Acquisitions

Mergers and Acquisitions

In general, prior to the Dodd-Frank Act, an “accredited investor” was ... for the protection of investors, in the public interest and in light of the ...

Author: Therese Maynard

Publisher: Wolters Kluwer

ISBN: 9781454818960

Category: Law

Page: 1080

View: 555

Mergers and Acquisitions: Cases and Materials--known for its cases, references to state and federal statutes, and ample problems--underscores the importance of modern fiduciary duty law. Its real-world, skills-based approach to transactions from Main Street to Wall Street emphasizes the ethical responsibilities of both lawyers and corporate managers who are responsible for implementing those transactions. Notes in the Appendix demonstrate the necessity of understanding where the money (or whatever serves as the acquisition consideration) is going. The Third Edition features a new chapter on "Going Private" (eliminating all public shareholders,) and focuses on changes in Delaware laws. More note materials help students put cases and developments into context, particularly on structuring acquisition transactions and fiduciary duty law. New cases discussed include Vantagepoint Venture Partners 1996 v. Examen, Inc. and En re: Topps Company Shareholders-- Litigation. New cases replace some older ones and several cases are more tightly edited. The text reflects all recent securities law and rule changes. Features: cases, references to state and federal statutes, and ample problems real-world, skills-based approach covers transactions from Main Street to Wall Street emphasizes the ethical responsibilities of both lawyers and corporate managers responsible for implementing transactions underscores the importance of modern fiduciary duty law demonstrates the importance of understanding where the money (or acquisition consideration) is going diagrams in the Appendix for the student and teacher to refer to throughout the semester alternative approaches to teaching suggestions for shortening reading assignments topics to be deleted to accommodate a two- or three-credit course sample syllabi detailed analysis and answers to all problems in the casebook author-hosted website PowerPoint slides of all diagrams included in the Appendix suggestions for using each slide answers to all problems and questions in the casebook updates and links to related materials ideas for integrating current events into classroom discussion Thoroughly updated, the revised Third Edition presents: a new chapter on "Going Private" (eliminating all public shareholders) focus on changes in Delaware laws more note materials to put cases and developments into context, particularly on structuring acquisition transactions and fiduciary duty law more note material associated with the problems new case discussions Vantagepoint Venture Partners 1996 v. Examen, Inc. En re: Topps Company Shareholders' litigation
Categories: Law

Budget and Management of the U S Securities and Exchange Commission SEC

Budget and Management of the U  S  Securities and Exchange Commission  SEC

Accredited Investor. Section 413(a) of the Dodd-Frank Act requires the definition of “accredited investor” in the Commission's 1933 Act rules to exclude the ...

Author: Robert Khuzami

Publisher: DIANE Publishing

ISBN: 9781437982954

Category:

Page: 29

View: 352

Discusses a number of significant steps that the SEC has taken over the past two years in their divisions and offices to reform and improve their operations. As part of that effort, the SEC has revitalized and restructured enforcement and examination functions, revamped the handling of tips and complaints, taken steps to break down internal silos and create a culture of collaboration, improved their risk assessment capabilities, begun to recruit more staff with specialized expertise and real world experience, and enhanced safeguards for investors¿ assets. This is a print on demand edition of an important, hard-to-find publication.
Categories:

Corporate Whistleblowing Regulation

Corporate Whistleblowing Regulation

Whereas the Investment Protection Act would have given the SEC the discretion to pay up to 30%, the Dodd Frank Act provides that ...

Author: Sulette Lombard

Publisher: Springer Nature

ISBN: 9789811502590

Category:

Page:

View: 235

Categories:

Dodd Frank Wall Street Reform and Consumer Protection Act

Dodd Frank Wall Street Reform and Consumer Protection Act

Not later than 18 months after the date of enactment of this Act , the ... promote investor protection , efficiency , competition , and capital formation .

Author: United States. Congress

Publisher:

ISBN: UOM:39015090418495

Category: Banking law

Page: 880

View: 263

Categories: Banking law

Investor Protection

Investor Protection

Towards Additional EU Regulation of Investment Funds? ... of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ('Dodd-Frank Act', Pub.

Author: Hanneke Wegman

Publisher: Kluwer Law International B.V.

ISBN: 9789041186119

Category: Law

Page: 362

View: 540

The expansion of the fund industry has been one of the most notable trends in the financial markets of recent years. Not only has the demand for funds among EU investors grown, but both the number and types of investment funds also continue to increase. Since investment funds available in the EU can be established both inside and outside the EU, they may be subject to different investor protection regulations, depending on where the fund is located. Accordingly, different levels of investor protection may exist between investors investing in EU funds and investors investing in non-EU funds, including US funds. This book investigates whether there is a level playing field between EU investors investing in EU funds and EU investors investing in US funds and if not, if there is a legal basis in current EU law for the EU regulator to adopt additional investor protection rules applying to investment funds. The analysis considers the basic characteristics of investment funds, how they function in practice, and how they are regulated relating to investor protection issues. Factors examined in depth include the following: – features of funds most relevant to the protection of retail investors; – operational structure, investment strategies, fee structure, and legal structure of funds; – internal control systems; – transparency and disclosure rules; – conduct of business rules; and – depositary monitoring rules. The author examines relevant EU directives and rules and the particular remit of each, as well as US law applying to investment funds that are active in the EU. Case law and relevant literature in the field is also drawn on. As an assessment of the current degree of protection applying to funds that are available to EU retail investors – as well as an up-to-date overview of regulatory requirements and procedures concerning the protection of EU investors in investment funds – this book is unsurpassed. Especially valuable is the closing discussion about whether the EU regulatory system provides for a level playing field of protection for EU retail investors, and if not which additional rules can be adopted by the EU regulator in this area. Lawyers and other professionals in all areas of law and policy concerned with investment and finance will find this book of great value.
Categories: Law