Securities Law & Regulation: Agencies & Orgs

The SEC is the primary regulator for securities law in the United States. Provides laws, no-action letters, SEC filings (EDGAR), policy guidance, among other resources.

The CFTC works in harmony with the SEC to regulate derivatives.

The FSOC sits within the U.S. Treasury and is charged with identifying risks to the financial stability of the United States; promoting market discipline; and responding to emerging risks to the financial system.

FINRA is authorized by Congress to protect investors by making sure the securities industry operates fairly and honestly.

NASAA members work within your state government to protect investors and help maintain the integrity of the securities industry

Intercontinental Exchange (NYSE: ICE) is the leading network of regulated exchanges and clearinghouses for financial and commodity markets.

SIPC oversees the liquidation of member broker-dealers that close when the broker-dealer is bankrupt or in financial trouble, and customer assets are missing.

SIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, banks and asset managers.

IOSCO develops, implements and promotes adherence to internationally recognized standards for securities regulation.

The Clearinghouse provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation.

The Project contributes to education, discourse, and research related to efforts by institutional investors to improve corporate governance arrangements at publicly traded firms.