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Access to Capital
Markets Structure and Liquidity
Securitization
Derivatives
Derivatives ...
Financial Market Utilities
Regulatory Structure and Processes
International Aspects of Capital Market Regulation
Regulatory Structure and Processes
Self-Regulatory Organizations
84.
Review of SROs
CFTC, SEC
C, F, G
Proposed
[ more ... ]
Treasury recommends that the CFTC and the SEC conduct comprehensive reviews of the roles, responsibilities, and capabilities of the SROs under their respective jurisdictions and make recommendations for operational, structural, and governance improvements of the SRO framework.
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85.
Enhanced oversight of SROs
CFTC, SEC
C, F, G
Proposed
[ more ... ]
Treasury recommends that the agencies identify any changes to underlying laws or rules that are needed to enhance oversight of SROs.
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86.
SRO adoption of action plans
SROs
C, F, G
Proposed
[ more ... ]
Treasury recommends that each SRO adopt and publicly release an action plan to review and update its rules, guidance, and procedures on a periodic basis.
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