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date: 28 January 2021

Abstract and Keywords

This Chapter examines the structure of the financial regulatory system in the US in order to understand what makes a theoretically ideal financial regulatory system. After providing an overview of a regulatory system’s key objectives, essential characteristics, most important strategies, and the organization of an optimal regulatory system, the Chapter analyses the US regulatory regime for financial markets in more detail. It discusses the regulatory system prior to the introduction of the Dodd–Frank Wall Street Reform and Consumer Protection Act of 2010, otherwise known as the Dodd–Frank Act; the calls for regulatory reform; the US Treasury’s blueprint for a modernized financial regulatory structure; and the release of a White Paper outlining reforms for financial regulation and the incorporation of some of its ideas in the Dodd–Frank Act.

Keywords: structural reform, prudential regulation, market conduct regulation, twin peaks, regulatory strategies

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