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.
Businessman Using Digital Tablet, Sitting in Office With Feet Up
Compliance Officer: Definition, Job Duties, and How to Become One
Middle Aged Couple Talking to Financial Advisor
Who Enforces GAAP?
Ben Bernanke at open board meeting, Basel III on July 2, 2013, where current rules for bank strnegth were established
What Is a Bank Stress Test? How It Works, Benefits, and Criticism
What Is the Securities Exchange Act of 1934? Reach and History
Proxy Materials
Compliance Department: Definition, Role, and Duties
President Trump Meets with Treasury Secretary Mnuchin at Treasury Department
Plunge Protection Team (PPT): Definition and How It Works
SEC 30-Day Yield Definition, Formula, Calculation, Example
Transfer Procedures
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
Midsection Of Businessman Putting Money Into Pocket
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
Man Checking Stock Market On Mobile Phone
Why Is There an IPO Lock-Up Period and How Long Does It Last?
Annual Report vs. 10-K: What's the Difference?
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How Does the International Monetary Fund Function?
IRS Commissioner Douglas Shulman Addresses The AICPA Annual Conference
American Institute of Certified Public Accountants (AICPA)
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Fraudulent Conveyance: What it is, How it Works
Accounting Interpretation
Accounting Interpretation
Accountant's Opinion
Accountant's Opinion
How SEC Regs Will Change Cryptocurrency Markets
Hands of financial manager taking notes when working
Government Accounting Standards Board (GASB) mission, Functions
SEC Alt-Fiduciary Rule: 'Regulation Best Interest'
Firm Quote
Hierarchy of GAAP
Hierarchy of GAAP
Know Your Client (KYC): Standards used in the investment services industry to verify customers and their risk and financial profiles.
Know Your Client (KYC): What It Means, Compliance Requirements
Social Trading Online Public Relations Manger Analyze Reports
How the SEC Tracks Insider Trading
SEC Form PRE 14C
Words insider trading written on a book.
What Is Insider Trading, and Is It Always Illegal?
Hand of a Stockbroker Buying and Selling Shares Online
Churning: Definition and Types in Finance
Businessman Uses Calculator
What Kinds of Restrictions Does the SEC Put on Short Selling?
Commercial Year
Commercial Year
Capital Requirements: Definition and Examples
Consumer Product Safety Commission (CPSC)
Municipal Securities Rulemaking Board (MSRB)
Investment Industry Regulatory Organization of Canada (IIROC)
What Is a Proxy Statement? Definition, What's In It, and Voting
Low Angle View Of European Union Flags
Alternative Investment Fund Managers Directive (AIFMD)
Full-Frame Shot of Paper Currencies on Table
The SEC: A Brief History of Regulation
What Is an SEC Fee? Definition, Rate, How It Works, and Example
Office of Thrift Supervision (OTS)
Business people writing on contracts
Multijurisdictional Disclosure System (MJDS)
Investment Adviser Association (IAA)
Investment Adviser Association (IAA)
Investor analyzing stock market investments with financial dashboard on smartphone and computer screens
Trade Reporting and Compliance Engine (TRACE): Meaning, Overview
Financial Institutions and Prudential Policy (FIPP) Unit: A division within the Centre for European Policy Studies responsible for researching the financial sector.
Financial Institutions and Prudential Policy (FIPP) Unit
Asset Manager Ethics: Risk Management and Compliance
Full disclosure
Full Disclosure: What it is, How it Works, Example
What Are Appellate Courts? How They Work, Functions, and Example
Suitable (Suitability) Definition
Australia, Queensland, Brisbane. Australian Stock Exchange tote board for share prices.
Australian Securities and Investments Commission (ASIC)
Close up of business woman checking financial data on smartphone
Material Nonpublic Information (MNPI)? Definition and Laws
Rehypothecation: Meaning and Examples
Young Woman on Laptop in Office
SEDAR: System for Electronic Document Analysis and Retrieval
Order Audit Trail System (OATS)
Businessman Using Modern Interface Payments Online Shopping and ICON Customer Network Connection on Virtual Screen
Consent Solicitation
How Are Asset Management Firms Regulated?
Retired Securities