美国多德-弗兰克华尔街改革与消费者保护法（中英文对照本）（8）（美洲卷）
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广东广州
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作者中国证券监督管理委员会 组织编译
出版社法律出版社
ISBN9787511853127
出版时间2014-01
装帧精装
开本16开
定价780元
货号23426810
上书时间2024-11-01
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导语摘要
《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。
作者简介
总译校：
吴志攀，北京大学教授、博士研究生导师，中国法学会副会长，北京大学党委常委、常务副校长、法律总顾问，兼任北京大学亚太研究院院长、北京大学金融法研究中心主任，人民法院专家咨询员。北京大学法学博士，美国哈佛大学法学院访问学者，美国艾森豪威尔基金会学者。出版《金融法概论》、《国际金融法》等十余部专著。
审校人员：
罗培新，华东政法大学国际金融法律学院院长、科研处处长，教授、博士研究生导师。北京大学国际金融法专业博士，中国社会科学院法学所博士后，美国耶鲁大学、英国牛津大学访问学者。国家*新世纪优秀人才、上海市第三届十大“优秀中青年法学家”。在《中国社会科学》、《中国法学》、《法学研究》发表论文若干篇，出版专著、译著10多部。
宋金莹，北京思必锐翻译公司译审。通过全国翻译专业资格英语一级笔译考试。北京外国语大学高级翻译学院翻译硕士、中国人民大学法学学士、南开大学英语语言文学学士。曾就职于司法部司法协助交流中心、司法协助与外事司，担任高级翻译。负责审校《美国多德—弗兰克华尔街改革与消费者保护法》章到第八章、第十章到第十六章以及后的统稿工作。
翻译人员：
瞿乃明，法国巴黎高等翻译学院翻译学硕士、法国巴黎第九大学国际企业管理硕士、台湾大学经济学学士，北京优笔客翻译中心总经理。主要翻译作品有《欧盟金融工具市场指令》、《中国证监会2011年年报》、《美国商品交易法》、《美国证券交易委员会自身组织与通用规章》、《欧盟金融监管体制改革法规汇编》、《欧盟证券监管法规汇编》和《欧盟另类投资基金管理人指令》等。
艾飞，北京大学法学院法学学士。2007年通过中国司法考试，北京优笔客翻译中心质量经理。主要翻译作品有《美国商品交易法》、《美国证券交易委员会自身组织与通用规章》和《欧盟证券监管法规汇编》。
董雷召，天津外国语大学英美文学学士、南开大学法学院法律硕士。2005年通过中国司法考试，北京优笔客翻译中心专职译者。主要翻译作品有《美国商品交易法》和《欧盟另类投资基金管理人指令》等。
福宇，北京外国语大学英语学士。曾任北京优笔客翻译中心专职译者，现任中国铁建国际集团有限公司专职译者。主要翻译作品有《美国证券交易委员会自身组织与通用规章》。
范一，中国政法大学中美法学院比较法硕士、中国政法大学法学学士。2007年通过中国司法考试，北京优笔客翻译中心专职译者。主要翻译作品有《美国证券交易委员会自身组织与通用规章》。
冯永杰，烟台师范学院外语系英语学士，华东政法大学法律硕士。2009年通过中国司法考试，曾任某知名律师事务所翻译部负责人，现任优笔客翻译中心兼职译者。
梁霏，美国纽约大学法学院法学硕士、中国人民大学经济学学士及法学硕士。曾长期执业于国际律师事务所北京及香港分所，并任职诺基亚西门子通信和惠普中国区法律顾问。现任北京市君泰律师事务所合伙人律师。
周舒诞，美国波士顿大学法学院法律博士（J.D.）、上海外国语大学高级翻译学院翻译学硕士、中山大学中文系中国语言文学学士。现任国际律师事务所伦敦总部美国税法律师。主要翻译作品有《欧盟金融工具市场指令》和《美国商品交易法》等。
程宇凡，首都经贸大学法律学士。现任某美国律师事务所专职法律翻译。主要翻译作品有《美国证券交易委员会自身组织与通用规章》、《欧盟金融监管体制改革法规汇
编》和《欧盟另类投资基金管理人指令》等。
钱淳，北京语言大学文学学士。北京优笔客翻译中心专职译者。主要翻译作品有《美国证券交易委员会自身组织与通用规章》等。
区欣，波兰什切青大学伊拉斯谟世界（Erasmus Mundus）硕士课程班学习欧盟法和欧盟指令，中山大学西方哲学硕士。北京优笔客翻译中心专职译者。主要翻译作品有《欧盟金融监管体制改革法规汇编》和《欧盟证券监管法规汇编》等。
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.〓TI
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