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User:Alexkachanov/Finance/Regulation

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Laws

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  • Securities Act of 1933 -
  • Glass-Steagall Act of 1933, often referred to as the Glass-Steagall Act or the Banking Act
  • Securities Exchange Act of 1934 - SEC
  • Maloney Act - SROs. The New York Stock Exchange became the SRO for brokerage firms and their employees registered with it; the National Association of Securities Dealers (NASD)supervises all other broker-dealers and their agents (brokers and other employees) who are not registered with the NYSE.

Government Bodies

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USA

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  • U.S. Securities and Exchange Commission - SEC
  • Commodity Futures Trading Commission - CFTC

Australia

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  • Australian Securities and Investments Commission (ASIC)

Self-regulating organizations (SRO)

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  • SIPC - Securities Investor Protection Corporation

International

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