The Sarbanes-Oxley Act of 2002: a Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud

The Sarbanes-Oxley Act of 2002: a Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud

Link to Full Text

Download Full Text

Document Type

Book Chapter

Publication Date

2014

Publication Information

Published as a chapter in Research Handbook on Securities Regulation in the United States edited by Jerry W. Markham and Rigers Gjyshi.

Abstract

This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statutes, and the regulators and market participants involved. In addition to a general summary of the topic, this volume provides detailed explanations of the process for registering securities, exemptions from registration, secondary distributions, and the underwriting process.

Scholars and students of financial law, banking and regulatory law will find this book a useful resource, as will attorneys, compliance professionals, risk-mitigation professionals and corporate leaders.

Law library patrons can access this chapter through the link.

ISBN

9781782540069

Publisher

Edward Elgar

Keywords

United States securities law, securities, law

Disciplines

Law | Securities Law

The Sarbanes-Oxley Act of 2002: a Regulatory Hodge-Podge Arising from Highly Visible Financial Fraud

Share

COinS