SEC & Regulatory Bodies
Learn more about agencies such as the SEC, FINRA, the CFPB, and CFTC—and their role in regulating public companies, securities trading, and financial services, and in protecting investors.
1913 Federal Reserve Act: Definition and Why It's Important
SEC Crypto Regulations: What Financial Advisors Need to Know
The SEC's Rules and Regulations on Social Media Use
Price Ceiling Types, Effects, and Implementation in Economics
Securities and Exchange Commission (SEC) Defined, How It Works
Explore SEC
Anti Money Laundering (AML) Definition: Its History and How It Works
Compliance Officer: Definition, Job Duties, and How to Become One
Who Enforces GAAP?
What Is a Bank Stress Test? How It Works, Benefits, and Criticism
What Is the Securities Exchange Act of 1934? Reach and History
Proxy Materials: What it Means, How it Works
Compliance Department: Definition, Role, and Duties
Plunge Protection Team (PPT): Definition and How It Works
SEC 30-Day Yield Definition, Formula, Calculation, Example
Transfer Procedures: What It Means, How It Works
SEC Form S-4: What it Means, How it Works
Where Can I Find a Company's Annual Report and Its SEC Filings?
Financial Action Task Force (FATF): What it is, How it Works
Market Surveillance: Meaning, How it Works, Risks
Howey Test Definition: What It Means and Implications for Cryptocurrency
How to Become an Accredited Investor
Why Is There an IPO Lock-Up Period and How Long Does It Last?
Annual Report vs. 10-K: What's the Difference?
How Does the International Monetary Fund Function?
American Institute of Certified Public Accountants (AICPA)
Fraudulent Conveyance: What it is, How it Works
Accounting Interpretation: What it is, How it Works, Example
Accountant's Opinion: What It Means, Types
How SEC Regs Will Change Cryptocurrency Markets
Government Accounting Standards Board (GASB) mission, Functions
SEC Alt-Fiduciary Rule: 'Regulation Best Interest'
Firm Quote: What It Is, How It Works, Example
Hierarchy of GAAP: Meaning, Organization, Requirements
Know Your Client (KYC): What It Means, Compliance Requirements
How the SEC Tracks Insider Trading
SEC Form PRE 14C: What It is, How It Works
What Is Insider Trading, and Is It Always Illegal?
Churning: Definition and Types in Finance
What Kinds of Restrictions Does the SEC Put on Short Selling?
Commercial Year: What it Means, How it Works
Capital Requirements: Definition and Examples
Consumer Product Safety Commission (Cpsc): Meaning, How It Works
Municipal Securities Rulemaking Board (MSRB) Overview
Investment Industry Regulatory Organization of Canada (IIROC)
What Is a Proxy Statement? Definition, What's In It, and Voting
Wildcatting: What It Means, How it Works
Alternative Investment Fund Managers Directive (AIFMD)
The SEC: A Brief History of Regulation
What Is an SEC Fee? Definition, Rate, How It Works, and Example
Office Of Thrift Supervision: What It Is, How It Works
Multijurisdictional Disclosure System (MJDS): Overview
Investment Adviser Association (IAA): What It is, How It Works
Trade Reporting and Compliance Engine (TRACE): Meaning, Overview
Financial Institutions and Prudential Policy (FIPP) Unit
Asset Manager Ethics: Risk Management and Compliance
Full Disclosure: What it is, How it Works, Example
What Are Appellate Courts? How They Work, Functions, and Example
Suitable (Suitability): Meaning, Types, FAQs
Australian Securities and Investments Commission (ASIC) Overview
Material Nonpublic Information (MNPI)? Definition and Laws
Rehypothecation: Meaning and Examples
Sedar: System For Electronic Document Analysis And Retrieval Overview
Order Audit Trail System (OATS): What it is, Example
Consent Solicitation: What it is, How it Works, Example
How Are Asset Management Firms Regulated?