Who Regulates Whom and How? An Overview of U.S. Financial Regulatory Policy for Banking and Securities Markets

Murphy, Edward V.

Library of Congress. Congressional Research Service.

关键词: Finance;    Securities;    Banks and banking;    Government regulation;   

RP-ID  :  R43087
RP-ID  :  R43087_2015Jan30

美国|英语

来源: UNT Digital Library

【 摘 要 】

This report provides an overview of the regulatory policies of the agencies that oversee banking and securities markets and explains which agencies are responsible for which institutions, activities, and markets. Some agencies regulate particular types of institutions for risky behavior or conflicts of interest, some agencies promulgate rules for certain financial transactions no matter what kind of institution engages in them, and other agencies enforce existing rules for some institutions, but not for others. These regulatory activities are not necessarily mutually exclusive.