User:Alexkachanov/Finance/Regulation
Appearance
Laws
[edit]- 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
[edit]USA
[edit]Australia
[edit]- Australian Securities and Investments Commission (ASIC)
Self-regulating organizations (SRO)
[edit]- commodities and futures industry in USA - National Futures Association - NFA
- SIPC - Securities Investor Protection Corporation