United States of America

Jurisdiction

Regulator

Comments

USA SEC The Securities and Exchange Commission - a long-established, robust and self-assured regulatory environment and stronger language; what would be a breach in the UK is a violation here. You can use the Edgar forms facility to research US filing forms. Use the Edgar filing search facility to search by company name for regulatory filings by issuers who offer their shares within the USA. Check for proposed new rules
USA SEC - Office of the Whistleblower If you report original information about securities fraud that leads to enforcement action where over $1 Million is recovered you may be able to claim up to 30% of the money collected
USA SEC - ADV Registered Investment Advisers must file form ADV
USA SEC - IARD The SEC's Investment Adviser Registration Depository is the website for electronic filing of Form ADV
USA SEC - EDGAR The SEC's website for EDGAR filings (login password needed)
USA CFPB Effective from July 2011 the Consumer Financial Protection Bureau, founded by Congress, works to give USA consumers the information they need to understand the terms of their agreements with financial companies and to protect investors generally
USA CFTC The Commodity Futures Trading Commission aims to ensure the integrity of the futures and options markets
USA FINRA The Financial Industry Regulatory Authority combines former NASD and NYSE member regulation
USA NFA National Futures Association - SRO for American futures dealers noted for its strong disciplinary assertions. Search for members and their disciplinary history at BASIC
USA NASAA North American Securities Administrators' Association
USA NAIC National Association of Insurance Commissioners
USA SIPC The Securities Investor Protection Corporation is a private investor protection scheme for customers of broker dealers that fail financially
USA CFPB The Consumer Financial Protection Bureau aims to protect retail investors when they are applying for a mortgage, choosing among credit cards, or using any number of other consumer financial products
USA Federal Reserve Bank The Federal Reserve Bank of New York regulates USA depository institutions
USA Federal Reserve Board Board of Governors of the Federal Reserve System
USA FTC Founded in 1914, the Federal Trade Commission enforces antitrust and consumer protection laws in the USA
USA DOL The Department of Labor is responsible for the administration and enforcement of federal laws relating to employment in the USA, including pension rights
USA GAO The Government Accountability Office is charged with examining matters relating to the receipt and disbursement of public funds
USA IRS The Internal Revenue Service is the central taxation authority in the USA
USA State Securities Regulators NASAA's clickable map of state regulators links to their websites
USA MSRB The Municipal Securities Rulemaking Board is the SRO for American Municipal Securities Dealers
USA CFPBS Certified Financial Planner Board of Standards, the SRO for personal financial advisers
Massachusetts PERAC Public Employee Retirement Administration Commission - a US state pensions regulator