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Library of Congress Cataloging-in-Publication Data

Kotz, H. David, author.

Financial regulation and compliance: how to manage competing and overlapping regulatory oversight /H. David Kotz.

pages cm. – (The wiley finance series)

Includes index.

ISBN 978-1-118-97221-2 (hardback)

1. Financial institutions–Law and legislation–United States. I. Title.

KF974.K68 2015

346.73′08–dc23

2015017704

ISBN 978-1-118-97221-2 (hbk)

ISBN 978-1-118-97223-6 (ebk)

ISBN 978-1-118-97222-9 (ebk)

ISBN 978-1-118-97224-3 (ebk)

Cover Design: Wiley

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