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2. United States securities regulation - Wikipedia

   en.wikipedia.org/wiki/United_States_Securities...

   The federal securities laws govern the offer and sale of securities and the trading of securities, activities of certain professionals in the industry, investment companies (such as mutual funds), tender offers, proxy statements, and generally the regulation of public companies. Public company regulation is largely a disclosure-driven regime ...

3. List of financial regulatory authorities by jurisdiction

   en.wikipedia.org/wiki/List_of_financial...

   In this list of financial regulatory and supervisory authorities, central banks are only listed where they act as direct supervisors of individual financial firms, and competition authorities and takeover panels are not listed unless they are set up exclusively for financial services.

4. Securities market participants (United States) - Wikipedia

   en.wikipedia.org/wiki/Securities_market...

   Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.

5. U.S. Securities and Exchange Commission - Wikipedia

   en.wikipedia.org/wiki/U.S._Securities_and...

   After the Pecora Commission hearings on abuses and frauds in securities markets, Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which federally regulates original issues of securities across state lines, primarily by requiring that issuing companies register distributions prior to sale so that investors may access basic ...

6. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. ( NASD ) as well as to the member regulation, enforcement, and ...

7. Who Regulates Financial Planners? - AOL

   www.aol.com/finance/regulates-financial-planners...

   The term ‘financial planner' can apply to a broad range of professionals, including accountants, insurance agents and investment advisors. If you work in any of those capacities or a related ...