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 - 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
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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
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| USA
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CFTC
|
The Commodity Futures Trading Commission aims to ensure the integrity of the futures and options markets
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| USA
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FINRA
|
The Financial Industry Regulatory Authority combines former NASD and NYSE member regulation
|
| USA
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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
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NASAA
|
North American Securities Administrators' Association
|
| USA
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NAIC
|
National Association of Insurance Commissioners
|
| USA
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SIPC
|
The Securities Investor Protection Corporation is a private investor protection scheme for customers of broker dealers that fail financially
|
| USA
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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
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Federal Reserve Board
|
Board of Governors of the Federal Reserve System
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| USA
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FTC
|
Founded in 1914, the Federal Trade Commission enforces antitrust and consumer protection laws in the USA
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| USA
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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
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GAO
|
The Government Accountability Office is charged with examining matters relating to the receipt and disbursement of public funds
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| USA
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IRS
|
The Internal Revenue Service is the central taxation authority in the USA
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| USA
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State Securities Regulators
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NASAA's clickable map of state regulators links to their websites
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| USA
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MSRB
|
The Municipal Securities Rulemaking Board is the SRO for American Municipal Securities Dealers
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| USA
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CFPBS
|
Certified Financial Planner Board of Standards, the SRO for personal financial advisers
|
| Massachusetts
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PERAC
|
Public Employee Retirement Administration Commission - a US state pensions regulator
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