Banking and Securities Regulation and Agency Enforcement Authorities

Jackson, William D. ; Jickling, Mark ; Shorter, Gary ; Murphy, M. Maureen ; Seitzinger, Michael V.

Library of Congress. Congressional Research Service.

关键词: Finance;    Independent regulatory commissions;    Securities regulation;    Banks and banking - Government regulation;    Executive departments;   

RP-ID  :  RL33235
RP-ID  :  RL33235 2006-01-17

美国|英语

来源: UNT Digital Library

【 摘 要 】

The federal bank regulatory agencies — the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve System, and the Office of Thrift Supervision — have extensive authority to enforce various legal and regulatory standards with respect to the banking institutions that they supervise. Similarly, the Securities and Exchange Commission (SEC) has a wide range of tools to enforce the securities laws. This report provides a brief sketch of these authorities and identifies the organizational entities within each agency that Congress assigns enforcement responsibilities. It includes a table comparing the formal enforcement tools that the banking agencies may use with those of the SEC.