United States of America
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Jurisdiction
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Regulator
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Comments
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USA |
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 proposed new
rules |
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USA |
Registered
Investment Advisers must file form ADV |
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USA |
The
SEC's Investment Adviser Registration Depository is the website for
electronic filing of Form ADV, to become mandatory during the first four
months of 2001 |
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USA |
The
SEC's website for EDGAR filings (login password needed) |
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USA |
The
Commodities and Futures Trading Commission regulates commodity futures and
options markets, protecting participants against market abuse and fraud |
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USA |
The
Financial Industry Regulatory Authority combines former NASD and NYSE member
regulation |
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USA |
National
Futures Association - SRO for American futures dealers noted for its strong
disciplinary assertions |
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USA |
North
American Securities Administrators' Association |
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USA |
National
Association of Insurance Commissioners |
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USA |
The
Securities Investor Protection Corporation is a private investor protection
scheme for customers of broker dealers that fail financially |
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USA |
The
Federal Reserve Bank of New York regulates USA depository institutions |
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USA |
Board
of Governors of the Federal Reserve System |
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USA |
The
Federal Trade Commission enforces antitrust and consumer protection laws in
the USA |
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USA |
The
Department of Labor is responsible for the
administration and enforcement of federal laws relating to employment in the
USA, including pension rights |
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USA |
The
General Accountability Office is charged with examining matters relating to
the receipt and disbursement of public funds |
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USA |
The
Internal Revenue Service is the central taxation authority in the USA |
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USA |
NASAA's
clickable map of state regulators links to their websites |
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USA |
The
Municipal Securities Rulemaking Board is the SRO for American Municipal
Securities Dealers |
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USA |
Certified
Financial Planner Board of Standards, the SRO for personal financial advisers |
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USA |
Public
Employee Retirement Administration Commission - a US state pensions regulator |
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