Name: 美国多德-弗兰克华尔街改革与消费者保护法（套装上下册）
Author: 中国证券监督管理委员会
ISBN: 9787511853127

美国多德-弗兰克华尔街改革与消费者保护法（套装上下册）

《多德—弗兰克华尔街改革与消费者保护法》，是美国联邦政府为了应对2008年肇始于美国并迅速席卷全球的金融风暴而制定的一部大规模的金融改革法案。该法案不仅是美国在全球范围内率先针对危机中饱受诟病的金融监管体制建立的新规则，更是今后各国进行金融监管改革的新标尺，对美国境内以及全球范围的金融生态产生了深远的影响。

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美国多德-弗兰克华尔街改革与消费者保护法（套装上下册）

中国证券监督管理委员会

3
SECTION 1.〓SHORT TITLE;TABLE OF CONTENTS. 2
SEC. 2.〓DEFINITIONS.2
SEC. 3.〓SEVERABILITY.10
SEC. 4.〓EFFECTIVE DATE.12
SEC. 5.〓BUDGETARY EFFECTS.12
SEC. 6.〓ANTITRUST SAVINGS CLAUSE.12
TITLE I—FINANCIAL STABILITY14
SEC. 101.〓SHORT TITLE.14
SEC. 102.〓DEFINITIONS.14
Subtitle A—Financial Stability Oversight Council18
SEC. 112.〓COUNCIL AUTHORITY.22
CERTAIN NONBANK FINANCIAL COMPANIES.30
SEC. 114.〓REGISTRATION OF NONBANK FINANCIAL COMPANIES
SUPERVISED BY THE BOARD OF GOVERNORS.40
NONBANK FINANCIAL COMPANIES SUPERVISED BY THE BOARD
OF GOVERNORS AND CERTAIN BANK HOLDING COMPANIES.40
SEC. 116.〓REPORTS.48
SEC. 117.〓TREATMENT OF CERTAIN COMPANIES THAT CEASE TO BE
BANK HOLDING COMPANIES.48
SEC. 118.〓COUNCIL FUNDING.52
AMONG MEMBER AGENCIES.52
SEC. 120.〓ADDITIONAL STANDARDS APPLICABLE TO ACTIVITIES OR
PRACTICES FOR FINANCIAL STABILITY PURPOSES.54
SEC. 121.〓MITIGATION OF RISKS TO FINANCIAL STABILITY.56
SEC. 122.〓GAO AUDIT OF COUNCIL.60
SEC. 123.〓STUDY OF THE EFFECTS OF SIZE AND COMPLEXITY OF
FINANCIAL INSTITUTIONS ON CAPITAL MARKET EFFICIENCY
AND ECONOMIC GROWTH.60
Subtitle B—Office of Financial Research62
SEC. 151.〓DEFINITIONS.62
SEC. 152.〓OFFICE OF FINANCIAL RESEARCH ESTABLISHED.64
SEC. 153.〓PURPOSE AND DUTIES OF THE OFFICE.68
SEC. 154.〓ORGANIZATIONAL STRUCTURE; RESPONSIBILITIES OF
PRIMARY PROGRAMMATIC UNITS.72
SEC. 155.〓FUNDING.76
SEC. 156.〓TRANSITION OVERSIGHT.78
Financial Companies and Bank Holding Companies80
SEC. 161.〓REPORTS BY AND EXAMINATIONS OF NONBANK FINANCIAL
COMPANIES BY THE BOARD OF GOVERNORS.80
SEC. 162.〓ENFORCEMENT.84
SEC. 163.〓ACQUISITIONS.84
CERTAIN FINANCIAL COMPANIES.86
SEC. 165.〓ENHANCED SUPERVISION AND PRUDENTIAL STANDARDS
FOR NONBANK FINANCIAL COMPANIES SUPERVISED BY
THE BOARD OF GOVERNORS AND CERTAIN BANK
HOLDING COMPANIES.88
SEC. 166.〓EARLY REMEDIATION REQUIREMENTS.108
SEC. 167.〓AFFILIATIONS.108
SEC. 168.〓REGULATIONS.112
SEC. 169.〓AVOIDING DUPLICATION.112
SEC. 170.〓SAFE HARBOR.114
SEC. 171.〓LEVERAGE AND RISK-BASED CAPITAL REQUIREMENTS.114
AND ORDERLY LIQUIDATION PURPOSES.122
INSTITUTIONS.124
SEC. 174.〓STUDIES AND REPORTS ON HOLDING COMPANY CAPITAL
REQUIREMENTS.126
SEC. 175.〓INTERNATIONAL POLICY COORDINATION.130
SEC. 176.〓RULE OF CONSTRUCTION.130
TITLE II—ORDERLY LIQUIDATION AUTHORITY132
SEC. 201.〓DEFINITIONS.132
SEC. 202.〓JUDICIAL REVIEW.136
SEC. 203.〓SYSTEMIC RISK DETERMINATION.148
SEC. 206.〓MANDATORY TERMS AND CONDITIONS FOR ALL ORDERLY
LIQUIDATION ACTIONS.168
OF RECEIVER.168
SEC. 208.〓DISMISSAL AND EXCLUSION OF OTHER ACTIONS.168
SEC. 209.〓RULEMAKING;NON-CONFLICTING LAW.170
SEC. 210.〓POWERS AND DUTIES OF THE CORPORATION.170
SEC. 211.〓MISCELLANEOUS PROVISIONS.284
SEC. 212.〓PROHIBITION OF CIRCUMVENTION AND PREVENTION OF
CONFLICTS OF INTEREST.290
DIRECTORS.290
SEC. 214.〓PROHIBITION ON TAXPAYER FUNDING.292
SEC. 215.〓STUDY ON SECURED CREDITOR HAIRCUTS.294
SEC. 216.〓STUDY ON BANKRUPTCY PROCESS FOR FINANCIAL AND
NONBANK FINANCIAL INSTITUTIONS.294
SEC. 217.〓STUDY ON INTERNATIONAL COORDINATION RELATING TO
BANKRUPTCY PROCESS FOR NONBANK FINANCIAL
INSTITUTIONS.296
TITLE III—TRANSFER OF POWERS TO THE COMPTROLLER
OF THE CURRENCY,THE CORPORATION,AND
THE BOARD OF GOVERNORS298
SEC. 300.〓SHORT TITLE.298
SEC. 301.〓PURPOSES.298
SEC. 302.〓DEFINITION.298
Subtitle A—Transfer of Powers and Duties298
SEC. 311.〓TRANSFER DATE.298
SEC. 312.〓POWERS AND DUTIES TRANSFERRED.300
SEC. 313.〓ABOLISHMENT.304
SEC. 314.〓AMENDMENTS TO THE REVISED STATUTES.304
SEC. 315.〓FEDERAL INFORMATION POLICY.306
SEC. 316.〓SAVINGS PROVISIONS.306
SEC. 317.〓REFERENCES IN FEDERAL LAW TO FEDERAL BANKING
AGENCIES.312
SEC. 318.〓FUNDING.312
SEC. 319.〓CONTRACTING AND LEASING AUTHORITY.316
Subtitle B—Transitional Provisions316
SEC. 321.〓INTERIM USE OF FUNDS,PERSONNEL,AND PROPERTY OF
THE OFFICE OF THRIFT SUPERVISION.316
SEC. 322.〓TRANSFER OF EMPLOYEES.318
SEC. 323.〓PROPERTY TRANSFERRED.332
SEC. 324.〓FUNDS TRANSFERRED.334
SEC. 325.〓DISPOSITION OF AFFAIRS.334
SEC. 326.〓CONTINUATION OF SERVICES. 336
SEC. 327.〓IMPLEMENTATION PLAN AND REPORTS.336
Subtitle C—Federal Deposit Insurance Corporation338
SEC. 331.〓DEPOSIT INSURANCE REFORMS.338
SEC. 332.〓ELIMINATION OF PROCYCLICAL ASSESSMENTS.340
SEC. 333.〓ENHANCED ACCESS TO INFORMATION FOR DEPOSIT
INSURANCE PURPOSES.340
SEC. 334.〓TRANSITION RESERVE RATIO REQUIREMENTS TO REFLECT
NEW ASSESSMENT BASE.342
SEC. 336.〓MANAGEMENT OF THE FEDERAL DEPOSIT INSURANCE
CORPORATION.344
Subtitle D—Other Matters344
SEC. 341.〓BRANCHING.344
SEC. 342.〓OFFICE OF MINORITY AND WOMEN INCLUSION.346
SEC. 343.〓INSURANCE OF TRANSACTION ACCOUNTS.352
Subtitle E—Technical and Conforming Amendments358
SEC. 351.〓EFFECTIVE DATE.358
SEC. 352.〓BALANCED BUDGET AND EMERGENCY DEFICIT CONTROL
ACT OF 1985.358
SEC. 353.〓BANK ENTERPRISE ACT OF 1991.358
SEC. 354.〓BANK HOLDING COMPANY ACT OF 1956.358
SEC. 355.〓BANK HOLDING COMPANY ACT AMENDMENTS OF 1970.360
SEC. 356.〓BANK PROTECTION ACT OF 1968.360
SEC. 357.〓BANK SERVICE COMPANY ACT.362
SEC. 358.〓COMMUNITY REINVESTMENT ACT OF 1977.362
SEC. 359.〓CRIME CONTROL ACT OF 1990.362
SEC. 361.〓EMERGENCY HOMEOWNERS’ RELIEF ACT.366
SEC. 362.〓FEDERAL CREDIT UNION ACT.366
SEC. 363.〓FEDERAL DEPOSIT INSURANCE ACT.366
SEC. 364.〓FEDERAL HOME LOAN BANK ACT.378
SEC. 365.〓FEDERAL HOUSING ENTERPRISES FINANCIAL SAFETY AND
SOUNDNESS ACT OF 1992.378
SEC. 366.〓FEDERAL RESERVE ACT.380
SEC. 367.〓FINANCIAL INSTITUTIONS REFORM,RECOVERY,AND
ENFORCEMENT ACT OF 1989.380
SEC. 368.〓FLOOD DISASTER PROTECTION ACT OF 1973.382
SEC. 369.〓HOME OWNERS’ LOAN ACT.384
SEC. 370.〓HOUSING ACT OF 1948.400
SEC. 372.〓HOUSING AND URBAN-RURAL RECOVERY ACT OF 1983.400
SEC. 373.〓NATIONAL HOUSING ACT.402
SEC. 374.〓NEIGHBORHOOD REINVESTMENT CORPORATION ACT.402
SEC. 375.〓PUBLIC LAW 93-100.402
SEC. 376.〓SECURITIES EXCHANGE ACT OF 1934.402
SEC. 377.〓TITLE 18,UNITED STATES CODE.408
SEC. 378.〓TITLE 31,UNITED STATES CODE.410
TITLE IV—REGULATION OF ADVISERS TO HEDGE FUNDS
AND OTHERS412
SEC. 401.〓SHORT TITLE.412
SEC. 402.〓DEFINITIONS.412
SEC. 403.〓ELIMINATION OF PRIVATE ADVISER EXEMPTION;LIMITED
EXEMPTION FOR FOREIGN PRIVATE ADVISERS;LIMITED
INTRASTATE EXEMPTION.414
SEC. 404.〓COLLECTION OF SYSTEMIC RISK DATA;REPORTS;
EXAMINATIONS;DISCLOSURES.416
SEC. 405.〓DISCLOSURE PROVISION AMENDMENT.420
SEC. 406.〓CLARIFICATION OF RULEMAKING AUTHORITY.420
SEC. 407.〓EXEMPTION OF AND REPORTING BY VENTURE CAPITAL
FUND ADVISERS.422
SEC. 408.〓EXEMPTION OF AND REPORTING BY CERTAIN PRIVATE
FUND ADVISERS.422
SEC. 409.〓FAMILY OFFICES.424
FOR FEDERAL REGISTRATION OF INVESTMENT ADVISERS.426
SEC. 411.〓CUSTODY OF CLIENT ASSETS.426
SEC. 413.〓ADJUSTING THE ACCREDITED INVESTOR STANDARD.428
SEC. 414.〓RULE OF CONSTRUCTION RELATING TO THE COMMODITIES
EXCHANGE ACT.430
SEC. 415.〓GAO STUDY AND REPORT ON ACCREDITED INVESTORS.430
SEC. 416.〓GAO STUDY ON SELF-REGULATORY ORGANIZATION FOR
PRIVATE FUNDS.430
SEC. 417.〓COMMISSION STUDY AND REPORT ON SHORT SELLING.432
SEC. 418.〓QUALIFIED CLIENT STANDARD.432
SEC. 419.〓TRANSITION PERIOD.432
TITLE V—INSURANCE436
Subtitle A—Federal Insurance Office436
SEC. 501.〓SHORT TITLE.436
SEC. 502.〓FEDERAL INSURANCE OFFICE.436
Subtitle B—State-Based Insurance Reform456
SEC. 511.〓SHORT TITLE.456
SEC. 512.〓EFFECTIVE DATE.456
PART I—NONADMITTED INSURANCE456
HOME STATE.458
SEC. 523.〓PARTICIPATION IN NATIONAL PRODUCER DATABASE.458
SEC. 526.〓GAO STUDY OF NONADMITTED INSURANCE MARKET.460
SEC. 527.〓DEFINITIONS.462
PART II—REINSURANCE468
SEC. 531.〓REGULATION OF CREDIT FOR REINSURANCE AND
REINSURANCE AGREEMENTS.468
SEC. 532.〓REGULATION OF REINSURER SOLVENCY.470
SEC. 533.〓DEFINITIONS.470
PART III—RULE OF CONSTRUCTION472
SEC. 541.〓RULE OF CONSTRUCTION.472
SEC. 542.〓SEVERABILITY.472
TITLE VI—IMPROVEMENTS TO REGULATION OF BANK AND
SAVINGS ASSOCIATION HOLDING COMPANIES AND
DEPOSITORY INSTITUTIONS474
SEC. 601.〓SHORT TITLE.474
SEC. 602.〓DEFINITION.474
SEC. 603.〓MORATORIUM AND STUDY ON TREATMENT OF CREDIT
CARD BANKS,INDUSTRIAL LOAN COMPANIES,AND CERTAIN
OTHER COMPANIES UNDER THE BANK HOLDING COMPANY
ACT OF 1956.474
SEC. 604.〓REPORTS AND EXAMINATIONS OF HOLDING COMPANIES;
REGULATION OF FUNCTIONALLY REGULATED SUBSIDIARIES.480
SEC. 605.〓ASSURING CONSISTENT OVERSIGHT OF PERMISSIBLE
ACTIVITIES OF DEPOSITORY INSTITUTION SUBSIDIARIES
OF HOLDING COMPANIES.490
SEC. 606.〓REQUIREMENTS FOR FINANCIAL HOLDING COMPANIES TO
REMAIN WELL CAPITALIZED AND WELL MANAGED.496
SEC. 607.〓STANDARDS FOR INTERSTATE ACQUISITIONS.498
SEC. 608.〓ENHANCING EXISTING RESTRICTIONS ON BANK
TRANSACTIONS WITH AFFILIATES.498

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美国多德-弗兰克华尔街改革与消费者保护法（套装上下册）

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美国多德-弗兰克华尔街改革与消费者保护法（套装上下册）