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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 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 ...
Bank regulation in the United States by state (16 P) C. ... (1 C, 3 P) Pages in category "Financial regulatory authorities of the United States"
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;
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.
Pages in category "Financial regulatory authorities" The following 66 pages are in this category, out of 66 total. ... Korea Financial Investment Association; M.