U.S. Financial Regulatory Structure: Overview, Complexities, and the Effects of Fragmentation and Overlap

Laurence Watson (Editor)

Series: Banks and Banking Developments
BISAC: BUS004000

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Financial regulatory policies are of interest to Congress because firms, consumers, and governments fund many of their activities through banks and securities markets. Furthermore, financial instability can damage the broader economy. Financial regulation is intended to protect borrowers and investors that participate in financial markets and mitigate financial instability. This book 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. (Imprint: Nova)

Preface

Chapter 1. Who Regulates Whom and How? An Overview of U.S. Financial Regulatory Policy for Banking and Securities Markets
Edward V. Murphy

Chapter 2. Financial Regulation: Complex and Fragmented Structure Could Be Streamlined to Improve Effectiveness
United States Government Accountability Office

Index

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