Jump to ContentJump to Main Navigation
Capital Markets, Derivatives and the LawEvolution After Crisis$
Users without a subscription are not able to see the full content.

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

Show Summary Details
Page of

PRINTED FROM OXFORD SCHOLARSHIP ONLINE (www.oxfordscholarship.com). (c) Copyright Oxford University Press, 2019. All Rights Reserved. Under the terms of the licence agreement, an individual user may print out a PDF of a single chapter of a monograph in OSO for personal use (for details see www.oxfordscholarship.com/page/privacy-policy).date: 22 April 2019

Securities Regulation

Securities Regulation

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

Alan N. Rechtschaffen

Oxford University Press

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was compartmentalized along lines of segmented financial instruments, but the crisis led to the revision of an outdated regulatory structure in particular as it relates to systemic risk.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

Oxford Scholarship Online requires a subscription or purchase to access the full text of books within the service. Public users can however freely search the site and view the abstracts and keywords for each book and chapter.

Please, subscribe or login to access full text content.

If you think you should have access to this title, please contact your librarian.

To troubleshoot, please check our FAQs , and if you can't find the answer there, please contact us .