Number: RL33235
Title: Banking and Securities Regulation and Agency Enforcement Authorities
Authors: William D. Jackson, Mark Jickling, and Gary Shorter, Government and Finance Division; M. Maureen Murphy and Michael V. Seitzinger, American Law Division 
Abstract: 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.
Pages: 13
Date: January 17, 2006