[20171019]IN10805_第二次财政部监管救济报告：资本市场 .pdf

CRS INSIGHT Prepared for Members and Committees of Congress INSIGHTINSIGHTi i Second Treasury Report on Regulatory Relief: Capital Markets Eva Su Analyst in Financial Economics October 19, 2017 On October 6, 2017, the Department of the Treasury issued a report, A Financial System That Creates Economic Opportunities: Capital Markets, that primarily examines the regulation of debt, equity, commodities, and derivatives markets. The report is the second of a series written in accordance with Executive Order (E.O.) 13772, which was issued by the President on February 3, 2017. The capital markets report provides 91 policy recommendations, the majority of which could be implemented by the primary regulators of U.S. capital markets: the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), state securities regulators, and Self-Regulatory Organizations (SROs). Notwithstanding the nonbinding nature of the recommendations, both SEC Chairman Jay Clayton and CFTC Chairman J. Christopher Giancarlo have publicly applauded the report. The report states that nine of the 91 Treasury recommendations would require congressional action. Report Highlights Treasurys recom