SEC & Regulatory Bodies
SEC's Rules and Regulations on Social Media Use
What Is the Glass-Steagall Act?
What Is a Price Ceiling?
Securities and Exchange Commission (SEC)
Anti Money Laundering (AML)
Understanding Compliance Officers
SEC Regulation D (Reg D)
Everything You Need to Know About the DOL Fiduciary Rule
Bank Stress Test
Securities Exchange Act of 1934
8-K (Form 8K)
Compliance Department Definition
Environmental Protection Agency (EPA)
SEC Form 13F Definition
SEC Form 4: Statement of Changes in Beneficial Ownership Overview
Plunge Protection Team (PPT) Definition
Schedule 13G Definition
SEC Yield Definition
National Association of Securities Dealers (NASD)
Understanding SEC Form S-4
SEC Form 144: Notice of Proposed Sale of Securities Overview
SEC Form 5 Overview
How to Become an Accredited Investor
What Is an IPO Lock-Up Period and How Long Is It?
Broker-Dealers Submit SEC Form BDW to Terminate Their Status
Rule 10b – 18 Definition
SEC Form S-3D
How SEC Regs Will Change Cryptocurrency Markets
SEC Alt-Fiduciary Rule: "Regulation Best Interest"
Know Your Client (KYC)
SEC Filings: Forms You Need To Know
What Is SEC Form 3?
How The SEC Tracks Insider Trading
A Brief History Of Credit Rating Agencies
What Is Section 1202?
What Is Churning by a Broker?
Investment Advisers Act of 1940 Definition
Investment Company Act of 1940
SEC Form 6-K
Federal Communications Commission (FCC)
Federal Trade Commission (FTC)
SEC Form DEF 14A
National Futures Association (NFA)
What Agencies Oversee U.S. Financial Institutions?
How Capital Requirements Keep Your Savings Account Safe
SEC Form S-3
Proxy Statement Definition
Financial Services Authority (FSA)
SEC Form 20-F
What Is Regulation W?
International Organization of Securities Commissions (IOSCO)
Alternative Investment Fund Managers Directive (AIFMD)
The SEC: A Brief History of Regulation
What Is a SEC Fee?
Office of Thrift Supervision (OTS)
How are investment banks regulated in the United States?
Ontario Securities Commission (OSC)
Multijurisdictional Disclosure System (MJDS)
Investment Adviser Association (IAA)
SEC Form S-8
Financial Conduct Authority (UK) (FCA)
Accounting Series Releases (ASR)