Investor Protection in Light of the Dodd-Frank Act

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.