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.

Explore SEC

Businessman Using Digital Tablet, Sitting in Office With Feet Up
Understanding Compliance Officers
U.S. Secutities and Exchange Commission headquarters
SEC Regulation D (Reg D)
Everything You Need to Know About the DOL Fiduciary Rule
Ben Bernanke at open board meeting, Basel III on July 2, 2013, where current rules for bank strnegth were established
Bank Stress Test
Business Planning
Securities Exchange Act of 1934
8-K (Form 8K)
Compliance Department Definition
Environmental Protection Agency (EPA)
Securities and Exchange Commission headquarters.
SEC Form 13F Definition
For a Secure Future, You've Got to Plan for It
SEC Form 4: Statement of Changes in Beneficial Ownership Overview
President Trump Meets with Treasury Secretary Mnuchin at Treasury Department
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
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Howey Test Definition: What It Means and Implications for Cryptocurrency
Businessman sitting in a private plane using a tablet
How to Become an Accredited Investor
Man Checking Stock Market On Mobile Phone
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): What It Means, Compliance Requirements
The U.S. Securities and Exchange Commission logo on the facade of the SEC building in Washington, D.C.
SEC Filings: Forms You Need To Know
Over the shoulder view of a woman looking at her smartphone with financial data on it
What Is SEC Form 3?
Social Trading Online Public Relations Manger Analyze Reports
How The SEC Tracks Insider Trading
Mixed Race Businesswoman Using ATM in City
Basel II
A Brief History Of Credit Rating Agencies
What Is Section 1202?
Hand of a Stockbroker Buying and Selling Shares Online
What Is Churning by a Broker?
Middle-aged African American couple discussing retirement plans with financial advisor.
Investment Advisers Act of 1940 Definition
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Investment Company Act of 1940
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SEC Form 6-K
FCC Holds Vote On Repeal Of Net Neutrality Rules
Federal Communications Commission (FCC)
The US Federal Trade Commission (FTC) bu
Federal Trade Commission (FTC)
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SEC Form DEF 14A
Close-up of stock market data on trading board
National Futures Association (NFA) Definition
Wall Street sign and the New York Stock Exchange building
What Agencies Oversee U.S. Financial Institutions?
How Capital Requirements Keep Your Savings Account Safe
Ben Bernanke at open board meeting, Basel III on July 2, 2013, where current rules for bank strnegth were established
Basel Accord
Skyscrapers at New York Stock exchange, view from below
SEC Form S-3
Proxy Statement Definition
Street in City of London in the Evening, London, UK
Financial Services Authority (FSA)
SEC Form 20-F
What Is Regulation W?
Couple of Business Persons in the Office
International Organization of Securities Commissions (IOSCO)
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 a SEC Fee?
Office of Thrift Supervision (OTS)
Vintage toned Wall Street at sunset, NYC.
How are investment banks regulated in the United States?
Ontario Securities Commission (OSC)
Business people writing on contracts
Multijurisdictional Disclosure System (MJDS)
Financial advisor with laptop meeting with senior couple in living room
Investment Adviser Association (IAA)
SEC Form S-8
Various currencies on a table
Financial Conduct Authority (UK) (FCA)
Accountant Hands Counts on the Calculator
Accounting Series Releases (ASR)