SEC & Regulatory Bodies
Learn more about agencies such as the SEC, FINRA, the CFPB, and CFTC—and their role in regulating public companies, securities trading, and financial services, and in protecting investors.
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1913 Federal Reserve Act: Definition and Why It's Important
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The SEC's Rules and Regulations on Social Media Use
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Price Ceiling Types, Effects, and Implementation in Economics
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Securities and Exchange Commission (SEC) Defined, How It Works
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Anti Money Laundering (AML) Definition: Its History and How It Works
Explore SEC
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Compliance Officer: Definition, Job Duties, and How to Become One
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Who Enforces GAAP?
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What Is a Bank Stress Test? How It Works, Benefits, and Criticism
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What Is the Securities Exchange Act of 1934? Reach and History
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Proxy Materials
Compliance Department: Definition, Role, and Duties
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Plunge Protection Team (PPT): Definition and How It Works
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SEC 30-Day Yield Definition, Formula, Calculation, Example
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Transfer Procedures
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SEC Form S-4 Definition
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Where Can I Find a Company's Annual Report and Its SEC Filings?
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Financial Action Task Force (FATF): What it is, How it Works
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Market Surveillance
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Howey Test Definition: What It Means and Implications for Cryptocurrency
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How to Become an Accredited Investor
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Why Is There an IPO Lock-Up Period and How Long Does It Last?
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Annual Report vs. 10-K: What's the Difference?
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How Does the International Monetary Fund Function?
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American Institute of Certified Public Accountants (AICPA)
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Fraudulent Conveyance: What it is, How it Works
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Accounting Interpretation
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Accountant's Opinion
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How SEC Regs Will Change Cryptocurrency Markets
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Government Accounting Standards Board (GASB) mission, Functions
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SEC Alt-Fiduciary Rule: 'Regulation Best Interest'
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Firm Quote
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Hierarchy of GAAP
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Know Your Client (KYC): What It Means, Compliance Requirements
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How the SEC Tracks Insider Trading
SEC Form PRE 14C
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What Is Insider Trading, and Is It Always Illegal?
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Churning: Definition and Types in Finance
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What Kinds of Restrictions Does the SEC Put on Short Selling?
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Commercial Year
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Capital Requirements: Definition and Examples
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Consumer Product Safety Commission (CPSC)
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Municipal Securities Rulemaking Board (MSRB)
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Investment Industry Regulatory Organization of Canada (IIROC)
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What Is a Proxy Statement? Definition, What's In It, and Voting
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Wildcatting
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Alternative Investment Fund Managers Directive (AIFMD)
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The SEC: A Brief History of Regulation
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What Is an SEC Fee? Definition, Rate, How It Works, and Example
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Office of Thrift Supervision (OTS)
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Multijurisdictional Disclosure System (MJDS)
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Investment Adviser Association (IAA)
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Trade Reporting and Compliance Engine (TRACE): Meaning, Overview
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Financial Institutions and Prudential Policy (FIPP) Unit
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Asset Manager Ethics: Risk Management and Compliance
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Full Disclosure: What it is, How it Works, Example
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What Are Appellate Courts? How They Work, Functions, and Example
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Suitable (Suitability) Definition
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Australian Securities and Investments Commission (ASIC)
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Material Nonpublic Information (MNPI)? Definition and Laws
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Rehypothecation: Meaning and Examples
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SEDAR: System for Electronic Document Analysis and Retrieval
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Order Audit Trail System (OATS)
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Consent Solicitation
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How Are Asset Management Firms Regulated?
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Retired Securities