{"product_id":"essentials-of-the-dodd-frank-act-isbn-9780470952337","title":"Essentials of the Dodd-Frank Act","description":"\u003cb\u003eAn executive overview of the new Financial Regulations Act\u003c\/b\u003e \u003cp\u003eThis 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.\u003c\/p\u003e \u003cul\u003e \u003cli\u003eOne of the first books to provide an executive summary from a compliance perspective\u003c\/li\u003e \u003cli\u003ePresents responsibilities of senior level executives regarding this new Act\u003c\/li\u003e \u003cli\u003eReveals what has changed within the regulatory environment\u003c\/li\u003e \u003cli\u003eProvides tips and techniques throughout\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eDescribing 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.\u003c\/p\u003e  Foreword.  \u003cp\u003ePreface.\u003c\/p\u003e \u003cp\u003eAcknowledgments.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e1 Introduction to the Dodd-Frank Act.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003e2 History and Background.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eFinancial Instability.\u003c\/p\u003e \u003cp\u003eScope.\u003c\/p\u003e \u003cp\u003eArchitects of the Dodd-Frank Act.\u003c\/p\u003e \u003cp\u003eThe Plan and Proposal.\u003c\/p\u003e \u003cp\u003eTime Line.\u003c\/p\u003e \u003cp\u003eKey Goals of the Act.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e3 Key Titles and Sections.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eTitle I: Financial Stability.\u003c\/p\u003e \u003cp\u003eTitle II: Orderly Liquidation Authority.\u003c\/p\u003e \u003cp\u003eTitle III: Transfer of Powers to the Office of Comptroller of the Currency, Corporation, and Board of Governors.\u003c\/p\u003e \u003cp\u003eTitle IV: Regulation of Advisers to Hedge Fund and Others.\u003c\/p\u003e \u003cp\u003eTitle V: Insurance.\u003c\/p\u003e \u003cp\u003eTitle VI: Improvements to the Regulation of Bank and Savings Association Holding Companies and Depository Institutions.\u003c\/p\u003e \u003cp\u003eTitle VII: Wall Street Transparency and Accountability.\u003c\/p\u003e \u003cp\u003eTitle VIII: Payment, Clearing and Settlement Supervision.\u003c\/p\u003e \u003cp\u003eTitle IX: Investor Protections and Improvements to the Regulation of Securities.\u003c\/p\u003e \u003cp\u003eTitle X: Bureau of Consumer Financial Protection.\u003c\/p\u003e \u003cp\u003eTitle XI: Federal Reserve System Provisions.\u003c\/p\u003e \u003cp\u003eTitle XII: Improving Access to Mainstream Financial Institutions.\u003c\/p\u003e \u003cp\u003eTitle XIII: Pay It Back Act.\u003c\/p\u003e \u003cp\u003eTitle XIV: Mortgage Reform and Anti-Predatory Lending Act.\u003c\/p\u003e \u003cp\u003eTitle XV: Miscellaneous Provisions.\u003c\/p\u003e \u003cp\u003eTitle XVI: Section 1256 Contracts.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e4 Institutions Impacted.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eForeign Banking Organizations.\u003c\/p\u003e \u003cp\u003eDerivatives.\u003c\/p\u003e \u003cp\u003eInsurance companies.\u003c\/p\u003e \u003cp\u003eConsumers and Mortgage Banking.\u003c\/p\u003e \u003cp\u003eBrokers-Dealers.\u003c\/p\u003e \u003cp\u003eBanks, Thrifts, and Bank Holding Companies.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003eNote.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e5 Dodd-Frank Act Rulemakings.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eSEC and Rulemaking.\u003c\/p\u003e \u003cp\u003eCorporate Governance.\u003c\/p\u003e \u003cp\u003eInvestment Advisers.\u003c\/p\u003e \u003cp\u003eSecurities Lending.\u003c\/p\u003e \u003cp\u003eArbitration.\u003c\/p\u003e \u003cp\u003eSwaps.\u003c\/p\u003e \u003cp\u003eCredit Rating Agencies.\u003c\/p\u003e \u003cp\u003eSecuritization.\u003c\/p\u003e \u003cp\u003eOther Legislation.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e6 Role of New and Existing Agencies.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eFinancial Stability Oversight Council.\u003c\/p\u003e \u003cp\u003eOffice of Financial Research.\u003c\/p\u003e \u003cp\u003eBureau of Consumer Financial Protection.\u003c\/p\u003e \u003cp\u003eBank Holding Companies.\u003c\/p\u003e \u003cp\u003eNon-bank Financial Companies.\u003c\/p\u003e \u003cp\u003eDepository institutions.\u003c\/p\u003e \u003cp\u003eOffice of Thrift Supervision.\u003c\/p\u003e \u003cp\u003eFederal Deposit Insurance Corporation.\u003c\/p\u003e \u003cp\u003eOffice of Comptroller of the Currency.\u003c\/p\u003e \u003cp\u003eOrderly Liquidation Authority.\u003c\/p\u003e \u003cp\u003eSecurities Investor Protection Corporation.\u003c\/p\u003e \u003cp\u003eSecurities and Exchange Commission.\u003c\/p\u003e \u003cp\u003eFederal Reserve Board.\u003c\/p\u003e \u003cp\u003eCommodity Futures Trading Commission.\u003c\/p\u003e \u003cp\u003eGovernment Accountability Office.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e7 Global Impact and Implications.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eBanking Industry.\u003c\/p\u003e \u003cp\u003eInvestment Industry.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003eNote.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e8 Advice for Specific Professions.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eExecutive Management.\u003c\/p\u003e \u003cp\u003eMunicipal Securities Markets.\u003c\/p\u003e \u003cp\u003eBrokers-Dealers.\u003c\/p\u003e \u003cp\u003eInvestment Advisers.\u003c\/p\u003e \u003cp\u003eInsurers.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003e\u003cb\u003e9 Relationship with SOX and the Basel Accords.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eThe Dodd-Frank Act and SOX.\u003c\/p\u003e \u003cp\u003eThe Dodd-Frank Act and the Basel Accords.\u003c\/p\u003e \u003cp\u003eSummary.\u003c\/p\u003e \u003cp\u003eAppendix A Contents of the Dodd-Frank Act.\u003c\/p\u003e \u003cp\u003eAppendix B Effective Dates and Deadlines.\u003c\/p\u003e \u003cp\u003eGlossary of Key Acronyms.\u003c\/p\u003e \u003cp\u003eAbout SOX Institute and the GRC Group.\u003c\/p\u003e \u003cp\u003eIndex.\u003c\/p\u003e \u003cb\u003eSANJAY ANAND, CSOX, CGRC,\u003c\/b\u003e is a recognized expert in governance, risk management, compliance and controls, and has served as chairperson of the SOX and GRC Institutes, and as Steering Committee member of the Open Compliance and Ethics Group's Red Book. He has been accorded over a dozen honorary industry credentials and certifications including a CDE (Certificate in Director Education) from NACD Institute and a CFE (Certified Fraud Examiner) from ACFE. For more information, visit his site at www.sanjayanand.com.  \"It is incumbent on all business owners and managers, and indeed all consumers, to understand the Dodd-Frank Act . . . . Who better to provide insights on Dodd-Frank than Sanjay Anand, who was among the first responders of consummate business leaders to explain the Sarbanes-Oxley Act. You have chosen wisely and I know you will greatly benefit from reading this book.\" —From the Foreword by Michael P. Cangemi, CPA, former president of FEI  \u003cp\u003e\"This book is about as authoritative as a book can get on a moving target like the Dodd-Frank Act while still being written in plain English, so that all those impacted by the legislation can understand what has been enacted, and what is yet to come. It provides the necessary foundational steps in preparing for the regulations regardless of how it may be modified. It also connects the dots to related regulations—SOX and Basel III. Kudos to Sanjay Anand for writing it and making his knowledge and expertise available to all.\"—Anthony Tarantino, author of Essentials of Risk Management in Finance\u003c\/p\u003e \u003cp\u003eGet up to speed quickly on the new Financial Regulations Act\u003c\/p\u003e \u003cp\u003eNeed a quick primer to the Dodd-Frank Act? Essentials of the Dodd-Frank Act guides you to both prepare for the regulations that will inevitably follow and to create a road map for implementing specific titles and sections of the Act within your organization, so you can always be one step ahead of the game.\u003c\/p\u003e \u003cp\u003eTake a look inside for just-the-facts coverage of:\u003c\/p\u003e \u003cul\u003e \u003cli\u003e \u003cp\u003eWhat has changed within the regulatory environment\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eThe events leading up to the Dodd-Frank Act, the key players involved, and a review of the legislation's timeline\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eEffective dates and rule promulgation deadlines you'll need to have handy\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eLegislation and rulemaking that could impact your organization such as the Truth in Lending Act, the Fair Credit Reporting Act, and the Investment Advisers Act\u003c\/p\u003e \u003c\/li\u003e \u003cli\u003e \u003cp\u003eThe global impact and implications of the Act for the banking and investment industries\u003c\/p\u003e \u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eOffering a timely compliance perspective of the new Dodd-Frank Wall Street Reform and Consumer Protection Act, Essentials of the Dodd-Frank Act examines the most important sections of the Act, how it impacts the financial industry, and what you must know and do in order to comply with the Act.\u003c\/p\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":47989164081381,"sku":"NP9780470952337","price":45.0,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9780470952337.jpg?v=1761783050","url":"https:\/\/k12savings.com\/es\/products\/essentials-of-the-dodd-frank-act-isbn-9780470952337","provider":"K12savings","version":"1.0","type":"link"}