White Papers

Capital Markets Report: Modernizing and Rationalizing Regulation of the U.S. Capital Markets


The Treasury Secretary’s preparation of periodic reports to President Trump on the extent to which financial laws and regulations promote and support the President’s Core Principles is an important opportunity to evaluate whether the laws and regulations that govern the U.S. capital markets can be modernized or otherwise improved to foster economic growth and make regulation efficient, effective and appropriately tailored. SIFMA strongly supports the Core Principles as the right framework for approaching these
policy discussions.

This White Paper in response to the Presidential Executive Order on Core Principles for Regulating the United States Financial System covers those key topic areas relating to the U.S. capital markets where the SIFMA membership believes that regulation can be modified to spur market activity, increase market access or lower costs for market participants, without sacrificing investor protection or compromising systemic stability.

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