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2. Financial Industry Regulatory Authority - Wikipedia

   en.wikipedia.org/wiki/Financial_Industry...

   The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...

3. List of federal agencies in the United States - Wikipedia

   en.wikipedia.org/wiki/List_of_federal_agencies...

   US Government Manual, official freely downloadable PDFs of annual printed versions. Federal Agency Directory, online database maintained by the Louisiana State University Libraries in partnership with the Federal Depository Library Program of the GPO; A–Z Index of US Departments and Agencies, USA.gov, the US government's official web portal ...

4. List of financial regulatory authorities by jurisdiction

   en.wikipedia.org/wiki/List_of_financial...

   Location Financial regulatory authorities Afghanistan: Da Afghanistan Bank: Albania: Financial Supervisory Authority (AMF) Algeria: Commission d'Organisation et de Surveillance des Opérations de Bourse (COSOB) Andorra: Andorran Financial Authority (AFA) Angola: Capital Markets Commission (CMC) ; Agência Angolana de Regulação e Supervisão ...

5. What is FINRA and what does it do? - AOL

   www.aol.com/finance/finra-does-212735083.html

   Here are the key details of FINRA, some of its benefits and how it differs from the SEC. Skip to main content. Subscriptions; Animals. Business. Entertainment. Fitness. Food. Games. Health ...

6. United States securities regulation - Wikipedia

   en.wikipedia.org/wiki/United_States_Securities...

   The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

7. Office of the Comptroller of the Currency - Wikipedia

   en.wikipedia.org/wiki/Office_of_the_Comptroller...

   The Office of the Comptroller of the Currency (OCC) is an independent bureau within the United States Department of the Treasury that was established by the National Currency Act of 1863 and serves to charter, regulate, and supervise all national banks and federal thrift institutions and the federally licensed branches and agencies of foreign banks in the United States. [1]