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Central Financial Commission (CFC) ; Central Financial Work Commission (CFWC) ; National Administration of Financial Regulation (NAFR) ; China Securities Regulatory Commission (CSRC) Colombia: Superintendencia Financiera de Colombia: Comoros: Central Bank of the Comoros ; Regional Insurance Control Commission (CRCA) Democratic Republic of the Congo
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 ...
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 ...
The Division of Investment Management administers various federal securities laws, in particular, the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include: [18] assisting the commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff;
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 ...
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Pages in category "Financial regulatory authorities" The following 66 pages are in this category, out of 66 total. ... Korea Financial Investment Association; M.
Apart from the bank regulatory agencies the U.S. maintains separate securities, commodities, and insurance regulatory agencies at the federal and state level, unlike Japan and the United Kingdom (where regulatory authority over the banking, securities and insurance industries is combined into one single financial-service agency). [1]