Register | Login
 Search
Auburn Mountain
  • Home
    • About Us
    • NonProfit Organization
    • Board Of Directors
    • Directors Only
    • FeedBack
    • Press Releases
    • Privacy
    • Blog Guidelines
    • Linking Policy
    • Site Map
  • Blog
    • Time
  • Initiatives
    • Initiatives-HmPage
    • Financial Plan of Action
    • Financial Literacy
    • Mentoring
    • ESL Tools
    • Students with Disabilities
    • Faith Based Initiatives
    • Donations and Sponsors
  • Regulation
    • Regulation Home
    • Financial Services Committee
    • SEC and FINRA
    • IARD, IAR and NASAA
    • US Treasuries
    • REITS
    • Commodities
    • State Insurance Reg
    • Federal Insurance Dept
    • Canada
    • United Kingdom & BVI
    • Africa
    • China
    • Israel
    • India
    • Japan
    • Korea
    • Latin Exchanges
    • Malaysia
    • Mexico
    • Saudi Arabia
    • Dubai
    • Swiss
  • Financial Education
    • Financial Education-Home
    • Securities Licensing
    • Insurance Licensing
    • Continuing Education
    • Insurance CE
    • Securities CE
    • Sponsorship
    • Visa Sponsorship
    • Associations & Institutes
    • International Compliance
    • Professional Designations
  • Financial Practice
    • Financial Practice HmPage
    • Practice Focus
    • Target Marketing
    • Client Acquisition
    • Client Referrals
    • Client Introductions
    • Business Plans for FSPs
    • Best Practices
      • Best Practices-Home
      • Ethics in Financial Services
      • Errors and Omissions Insurance
      • Planning for Business Owners
      • Client Events
      • Joint Work
      • Wholesalers & Product Specialists
      • Translators & Interpreters
    • Grow and Manage Assets
      • Grow & Manage Assets HmPage
      • Identity Theft
      • Accredited Investors
      • Money Laundering
      • Islamic Finance
      • Islamic Insurance
      • Islamic Insurance Companies
      • Islamic Investments
      • Margin Accounts
      • Stock Options
    • Online Meetings
    • Private Jet Travel
  • Recruiting Center
    • Recruiting Center Hmpage
    • Broker Dealer
    • Career
    • College Graduates
    • Retention
    • Recruiting Sources
    • Recruiting CRM
  • Articles
  • Industry News
    • Industry News Home Page
    • Global News
    • USA
    • United Kingdom
    • Europe
    • Africa
    • Asian
    • India
    • Middle East
Friday, March 12, 2010
Regulation » SEC and FINRA


 CONSUMER
FINANCIAL EDUCATION

Google
Search Auburn Mountain

Go To:

Regulation Home
Financial Services Committee
SEC and FINRA
IARD, IAR and NASAA
US Treasuries
REITS
Commodities
State Insurance Reg
Federal Insurance Dept
Canada
United Kingdom & BVI
Africa
China
Israel
India
Japan
Korea
Latin Exchanges
Malaysia
Mexico
Saudi Arabia
Dubai
Swiss

USA Exchanges

 
  • AMEX
  • New York Stock Exchange 
  • NASDAQ 
  • Chicago Stock Exchange 
  • Chicago Board Options  
  • Chicago Board of Trade 
  • Chicago Mercantile Exchange 
  • Kansas City Board of Trade 
  • Minneapolis Grain Exchange  
  • Philadelphia Stock Exchange 

SEC and FINRA Regulations

United States Securities and Exchange Commission -SEC

The SEC is the agency responsible for administering federal securities laws in the US. The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets. The SEC also oversees other key participants in the securities world, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies.
 
Crucial to the SEC's effectiveness is its enforcement authority. Each year the SEC brings between 400-500 civil enforcement actions against individuals and companies that break the securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them.
 
Financial Services Professionals Information:
  • Accountants
  • Broker Dealers
  • Fund/Adviser CCOs
  • Municipal Markets  
  • Small Business 
  • Investment Regulation  
  • Corporation Finance
  • Market Regulation 
  • Monthly Disciplinary Actions

Investor Information:

  • Do the law regulate when a Stockbroker can call me? 
  • Investing Guides and Publications
  • Buy Or Selling Securities?
  • Calculators
  • For Teachers and Students
  • Play the FRAUD SCENE INVESTIGATOR game.
  • Check Out Brokers & Advisers
  • File a Tip or Complaint 
Financial Industry Regulatory Authority (FINRA)
 

FINRA

The Financial Industry Regulatory Authority (FINRA) is now operating as the securities industry's new self-regulatory body. The consolidation of NASD and NYSE Member Regulation has been approved by the SEC and is effective immediately. FINRA is the largest, non-governmental regulatory organization for securities brokers and dealers doing business in the United States--overseeing more than 5,000 firms employing over 666,000 registered representatives.

 
FINRA was created through the consolidation of NASD and the member regulation, enforcement and arbitration operations of the New York Stock Exchange. The consolidation, which was announced on Nov. 28, 2006 and approved by the Securities and Exchange Commission on July 26, 2007, became effective July 30, 2007.
 
FINRA conducts the regulatory oversight of more than 5,000 securities firms and 666,000 registered representatives. It will be responsible for rule writing, firm examination, enforcement and arbitration and mediation functions, along with all functions that were previously overseen solely by NASD, including market regulation under contract for NASDAQ, the American Stock Exchange, the International Securities Exchange and the Chicago Climate Exchange. VISIT MARKET TRADER
 
FINRA has approximately 3,000 employees and operates from Washington, DC, New York and 15 District Offices around the country. FINRA is investor-focused regulator that is better suited to the complexity and competitiveness of today's global capital markets. By eliminating overlapping regulation and establishing a uniform set of rules placing oversight responsibility in a single organization, FINRA will enhance investor protection while increasing the competitiveness of our financial markets. FILE COMPLAINT WITH FINRA 
 
The FINRA Investor Education Foundation
The FINRA Investor Education Foundation funds innovative research and educational projects that give investors the tools they need to better understand the markets and the basic principles of saving and investing. For details about grant programs and other FINRA Foundation initiatives, please go to www.finrafoundation.org 
  • Qualification Requirements
  • Information for Brokers
  • Information for Firms
  • Small Firm Information
  • Information for Regulators
  • Investor and Consumer Information
    Mutual Fund Investing
  • It is 12noon: Do You Know Your Broker and Advisors? 
  • Protect Your Money: Check Out Brokers and Investment Advisers
  • Investor Complaint Center
  • Need more Information?

FINRA Mutual Fund Expense Analyzer
You can compare the expenses of up to three Exchange Traded Funds, mutual funds or share classes of the same mutual fund.  
Use The FINRA Mutual Fund Expense Analyzer

Manage Your Money with Confidence
SaveAndInvest.org is your source for objective answers, unbiased investing resources and straight-talking financial information and tools. It's a free service of the NASD Investor Education Foundation—helping you to protect yourself from costly mistakes and learn more about handling your finances. So there's no sales pitch. No confusing advice.

Terms | Privacy Statement
Copyright 2006 - 2008 by Auburn Mountain