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