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 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, to become mandatory during the first four months of 2001 |
| USA | SEC - EDGAR | The SEC's website for EDGAR filings (login password needed) |
| USA | CFTC | The Commodities and Futures Trading Commission regulates commodity futures and options markets, protecting participants against market abuse and fraud |
| 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 |
| 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 | Fed Reserve Bank | The Federal Reserve Bank of New York regulates USA depository institutions |
| USA | Fed Reserve Board | Board of Governors of the Federal Reserve System |
| USA | FTC | 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 General 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. You can also check at the CFTC State Regulators page |
| 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 |
| USA Massachusetts |
PERAC | Public Employee Retirement Administration Commission - a US state pensions regulator |