法律图书馆>>网上书店>>图书信息
美国多德-弗兰克华尔街改革与消费者保护法(全2册)(中英文对照本)/境外资本市场重要法律文献译丛
编号:58610
书名:美国多德-弗兰克华尔街改革与消费者保护法(全2册)(中英文对照本)/境外资本市场重要法律文献译丛
作者:中国证监委编译
出版社:法律
出版时间:2014-1-1
入库时间:2014-3-1
定价:780元
[图书内容简介]
《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。

[图书目录]
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. 111.〓FINANCIAL STABILITY OVERSIGHT COUNCIL ESTABLISHED.18
SEC. 112.〓COUNCIL AUTHORITY.22
SEC. 113.〓AUTHORITY TO REQUIRE SUPERVISION AND REGULATION OF
CERTAIN NONBANK FINANCIAL COMPANIES.30
SEC. 114.〓REGISTRATION OF NONBANK FINANCIAL COMPANIES
SUPERVISED BY THE BOARD OF GOVERNORS.40
SEC. 115.〓ENHANCED SUPERVISION AND PRUDENTIAL STANDARDS FOR
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
SEC. 119.〓RESOLUTION OF SUPERVISORY JURISDICTIONAL DISPUTES
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
Subtitle C—Additional Board of Governors Authority for Certain Nonbank
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
SEC. 164.〓PROHIBITION AGAINST MANAGEMENT INTERLOCKS BETWEEN
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
SEC. 172.〓EXAMINATION AND ENFORCEMENT ACTIONS FOR INSURANCE
AND ORDERLY LIQUIDATION PURPOSES.122
SEC. 173.〓ACCESS TO UNITED STATES FINANCIAL MARKET BY FOREIGN
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. 204.〓ORDERLY LIQUIDATION OF COVERED FINANCIAL COMPANIES.158
SEC. 205.〓ORDERLY LIQUIDATION OF COVERED BROKERS AND DEALERS.162
SEC. 206.〓MANDATORY TERMS AND CONDITIONS FOR ALL ORDERLY
LIQUIDATION ACTIONS.168
SEC. 207.〓DIRECTORS NOT LIABLE FOR ACQUIESCING IN APPOINTMENT
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
SEC. 213.〓BAN ON CERTAIN ACTIVITIES BY SENIOR EXECUTIVES AND
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. 335.〓PERMANENT INCREASE IN DEPOSIT AND SHARE INSURANCE.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. 360.〓DEPOSITORY INSTITUTION MANAGEMENT INTERLOCKS ACT.364
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. 371.〓HOUSING AND COMMUNITY DEVELOPMENT ACT OF 1992.400
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
SEC. 410.〓STATE AND FEDERAL RESPONSIBILITIES;ASSET THRESHOLD
FOR FEDERAL REGISTRATION OF INVESTMENT ADVISERS.426
SEC. 411.〓CUSTODY OF CLIENT ASSETS.426
SEC. 412.〓COMPTROLLER GENERAL STUDY ON CUSTODY RULE COSTS.428
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
SEC. 521.〓REPORTING,PAYMENT,AND ALLOCATION OF PREMIUM TAXES.456
SEC. 522.〓REGULATION OF NONADMITTED INSURANCE BY INSURED’S
HOME STATE.458
SEC. 523.〓PARTICIPATION IN NATIONAL PRODUCER DATABASE.458
SEC. 524.〓UNIFORM STANDARDS FOR SURPLUS LINES ELIGIBILITY.460
SEC. 525.〓STREAMLINED APPLICATION FOR COMMERCIAL PURCHASERS.460
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
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. 111.〓FINANCIAL STABILITY OVERSIGHT COUNCIL ESTABLISHED.18

SEC. 112.〓COUNCIL AUTHORITY.22

SEC. 113.〓AUTHORITY TO REQUIRE SUPERVISION AND REGULATION OF

CERTAIN NONBANK FINANCIAL COMPANIES.30

SEC. 114.〓REGISTRATION OF NONBANK FINANCIAL COMPANIES

SUPERVISED BY THE BOARD OF GOVERNORS.40

SEC. 115.〓ENHANCED SUPERVISION AND PRUDENTIAL STANDARDS FOR

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

SEC. 119.〓RESOLUTION OF SUPERVISORY JURISDICTIONAL DISPUTES

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

Subtitle C—Additional Board of Governors Authority for Certain Nonbank

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

SEC. 164.〓PROHIBITION AGAINST MANAGEMENT INTERLOCKS BETWEEN

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

SEC. 172.〓EXAMINATION AND ENFORCEMENT ACTIONS FOR INSURANCE

AND ORDERLY LIQUIDATION PURPOSES.122

SEC. 173.〓ACCESS TO UNITED STATES FINANCIAL MARKET BY FOREIGN

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. 204.〓ORDERLY LIQUIDATION OF COVERED FINANCIAL COMPANIES.158

SEC. 205.〓ORDERLY LIQUIDATION OF COVERED BROKERS AND DEALERS.162

SEC. 206.〓MANDATORY TERMS AND CONDITIONS FOR ALL ORDERLY

LIQUIDATION ACTIONS.168

SEC. 207.〓DIRECTORS NOT LIABLE FOR ACQUIESCING IN APPOINTMENT

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

SEC. 213.〓BAN ON CERTAIN ACTIVITIES BY SENIOR EXECUTIVES AND

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. 335.〓PERMANENT INCREASE IN DEPOSIT AND SHARE INSURANCE.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. 360.〓DEPOSITORY INSTITUTION MANAGEMENT INTERLOCKS ACT.364

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. 371.〓HOUSING AND COMMUNITY DEVELOPMENT ACT OF 1992.400

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

SEC. 410.〓STATE AND FEDERAL RESPONSIBILITIES;ASSET THRESHOLD

FOR FEDERAL REGISTRATION OF INVESTMENT ADVISERS.426

SEC. 411.〓CUSTODY OF CLIENT ASSETS.426

SEC. 412.〓COMPTROLLER GENERAL STUDY ON CUSTODY RULE COSTS.428

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

SEC. 521.〓REPORTING,PAYMENT,AND ALLOCATION OF PREMIUM TAXES.456

SEC. 522.〓REGULATION OF NONADMITTED INSURANCE BY INSURED’S

HOME STATE.458

SEC. 523.〓PARTICIPATION IN NATIONAL PRODUCER DATABASE.458

SEC. 524.〓UNIFORM STANDARDS FOR SURPLUS LINES ELIGIBILITY.460

SEC. 525.〓STREAMLINED APPLICATION FOR COMMERCIAL PURCHASERS.460

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
法律图书馆>>网上书店