Date: January 17, 2006
Creator: Jackson, William D; Jickling, Mark; Shorter, Gary; Murphy, M. Maureen & Seitzinger, Michael V
Description: 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.
Contributing Partner: UNT Libraries Government Documents Department