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A Financial System That Creates Economic Opportunities-capital Markets

A Financial System That Creates Economic Opportunities: Capital Markets
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Table of Contents

Executive Summary 1

Introduction 3

Scope of This Report 3

Review of the Process for This Report 4

The U.S. Capital Markets 4 Summary of Issues and Recommendations 6

Capital Markets Overview 11

Introduction 13 Key Asset Classes 13

Key Regulators 18 Access to Capital 19

Overview and Regulatory Landscape 21

Issues and Recommendations 25

Equity Market Structure 47

Overview and Regulatory Landscape 49

Issues and Recommendations 59

The Treasury Market 69

Overview and Regulatory Landscape 71

Issues and Recommendations 79

Corporate Bond Liquidity 83

Overview and Regulatory Landscape 85

Issues and Recommendations 87 Securitization 89

Overview 91

Regulatory Landscape 96

Issues and Recommendations 97

A Financial System That Creates Economic Opportunities • Capital Markets iv v A Financial System That Creates Economic Opportunities • Capital Markets

Derivatives 107

Overview 109

Regulatory Landscape 116

Issues and Recommendations 126

Financial Market Utilities 149

Overview and Regulatory Landscape 151

Issues and Recommendations 164

Regulatory Structure and Process 169

Overview 171 Issues and Recommendations 179

International Aspects of Capital Markets Regulation 187

Overview 189

Issues and Recommendations 190

Appendices 193

Appendix A: Participants in the Executive Order Engagement Process 193

Appendix B: Table of Recommendations 203


President Donald J. Trump established the policy of his Administration to regulate the U.S. financial system in a manner consistent with a set of Core Principles. These principles were set forth in Executive Order 13772 on February 3, 2017. The U.S. Department of the Treasury (Treasury), under the direction of Secretary Steven T. Mnuchin, prepared this report in response to that Executive Order. The reports issued pursuant to the Executive Order identify laws, treaties, regulations, guidance, reporting and record keeping requirements, and other Government policies that promote or inhibit Federal regulation of the U.S. financial system in a manner consistent with the Core Principles. The Core Principles 


Individuals and political operatives engaged in commerce associated with creating economic opportunities associated within Capital Markets.

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Treasury Dept.
2017: 228 p.; ill.
Key Phrases:
  • Capital Markets
  • Financial System That Creates Economic Opportunities
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