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Who Regulates Whom: U.S. Financial Oversight* $330.00
Editors: Milton H. Lazarus
Book Description:
Federal financial regulation in the United States has evolved through a series of piecemeal responses to developments and crises in financial markets. This new book provides an overview of current U.S. financial regulation: which agencies are responsible for which institutions and markets, and what kinds of authority they have. Banking regulation is largely based on a quid pro quo that was adopted in response to widespread bank failures. Federal securities regulation is based on the principle of disclosure, rather than direct regulation. Derivatives trading is supervised by the Commodity Futures Trading Commission (CFTC), which oversees trading on the futures exchanges, which have self-regulatory responsibilities as well. There is also a large over-the-counter (off-exchange) derivatives market that is largely unregulated. The Federal Housing Finance Agency (FHFA) oversees a group of government-sponsored enterprises (GSEs)—public/private hybrid firms that seek both to earn profits and to further the policy objectives set out in their statutory charters. No federal agency has jurisdiction over trading in foreign exchange or U.S. Treasury securities; nonbank lenders fall outside the regulatory umbrella; and hedge funds, private equity firms, and venture capital investors are largely unregulated (although their transactions in securities and derivatives markets may be).

Table of Contents:

Credit Rating Agencies and Their Regulation
(Gary Shorter, Specialist in Financial Economics, Michael V. Seitzinger, Legislative Attorney, (CRS)) pp.1-22

Financial Regulatory Reform: Analysis of the Consumer Financial Protection Agency (CFPA) as Proposed by the Obama Administration and H.R. 3126
(David H. Carpenter, Legislative Attorney, Mark Jickling, Specialist in Financial Economics, (CRS)) pp.23-34

Financial Regulatory Reform
A New Foundation: Rebuilding Financial Supervision and Regulation
(Department of the Treasury) pp.35-112

Hedge Funds: Overview of Regulatory Oversight, Counterparty Risks and Investment Challenges
(Statement of Orice M. Williams, Director Financial Markets and Community Investment (CRS)) pp.113-124

Hedge Funds: Should They Be Regulated?
(Mark Jickling, Specialist in Financial Economics, (CRS)) pp.125-132

Macroprudential Oversight: Monitoring the Financial System
(Darryl E. Getter, Specialist in Financial Economics, (CRS)) pp.133-140

Financial Market Regulation:
Financial Crisis Highlights Need to Improve Oversight of Leverage at Financial Institutions and across System
(GAO)) pp.141-228

Who Regulates Whom? An Overview of U.S. Financial Supervision
(Mark Jickling, Specialist in Financial Economics, Edward V. Murphy, Specialist in Financial Economics, (CRS)) pp.229-264

Chapter Sources pp.265-266

Index pp.267-276

      Financial Institutions and Services
   Binding: ebook
   Pub. Date: 2010
   Pages: 7 x 10
   ISBN: 978-1-61668-434-1
   Status: AV
Status Code Description
AN Announcing
FM Formatting
PP Page Proofs
FP Final Production
EP Editorial Production
PR At Prepress
AP At Press
AV Available
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Who Regulates Whom: U.S. Financial Oversight*