An executive overview of the new Financial Regulations 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.
