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Capital Markets, Derivatives and the LawEvolution After Crisis$
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Alan N. Rechtschaffen

Print publication date: 2014

Print ISBN-13: 9780199971541

Published to Oxford Scholarship Online: May 2014

DOI: 10.1093/acprof:oso/9780199971541.001.0001

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Securities Regulation

Securities Regulation

Chapter:
(p.243) Chapter 12 Securities Regulation
Source:
Capital Markets, Derivatives and the Law
Author(s):

Alan N. Rechtschaffen

Publisher:
Oxford University Press
DOI:10.1093/acprof:oso/9780199971541.003.0012

Prior to the financial crisis, financial regulation was compartmentalized along lines of segmented financial instruments, but the crisis led to the revision of an outdated regulatory structure in particular as it relates to systemic risk. This chapter examines securities regulation in the United States. It looks at the coordination between the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) in regulating certain derivatives under the Dodd-Frank Act in particular as they relate to swaps. It also discusses the regulation of stocks, notes, investment contracts, and hedge funds. Finally, the chapter considers the consequences of securities violations.

Keywords:   financial regulation, financial instruments, securities, United States, SEC, derivatives, Dodd-Frank Act, swaps, investment contracts, hedge funds

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