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  2. List of financial regulatory authorities by jurisdiction

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

    In this list of financial regulatory and supervisory authorities, central banks are only listed where they act as direct supervisors of individual financial firms, and competition authorities and takeover panels are not listed unless they are set up exclusively for financial services.

  3. Bank regulation in the United States - Wikipedia

    en.wikipedia.org/wiki/Bank_regulation_in_the...

    Apart from the bank regulatory agencies the U.S. maintains separate securities, commodities, and insurance regulatory agencies at the federal and state level, unlike Japan and the United Kingdom (where regulatory authority over the banking, securities and insurance industries is combined into one single financial-service agency). [1]

  4. Banks don’t want to inspect your home office, so they’re ...

    www.aol.com/finance/banks-don-t-want-inspect...

    Michael Roberts, HSBC CEO of the U.S. and Americas, told Bloomberg that while the bank will comply with the FINRA regulations, he wants employees to want to come back to the office.

  5. Banking regulation and supervision - Wikipedia

    en.wikipedia.org/wiki/Banking_regulation_and...

    Arguably the most important requirement in bank regulation that supervisors must enforce is maintaining capital requirements. [4] As banking regulation focusing on key factors in the financial markets, it forms one of the three components of financial law, the other two being case law and self-regulating market practices. [5]

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

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

    FINRA oversees around 3,400 securities firms with about 150,000 branch offices. This includes about 612,000 registered securities professionals as of 2021. FINRA itself has 19 offices across the U ...

  7. FINRA vs. SEC: How Do They Differ? - AOL

    www.aol.com/finance/finra-vs-sec-differ...

    The post FINRA vs. SEC: How Do They Differ? appeared first on SmartReads by SmartAsset. When it comes to regulating the financial system of the United States, two prominent entities often come ...

  8. Banking in the United States - Wikipedia

    en.wikipedia.org/wiki/Banking_in_the_United_States

    Unlike Switzerland and the United Kingdom (where regulatory authority over the banking, securities and insurance industries is combined into one single financial service agency), the U.S. maintains separate securities, commodities, and insurance regulatory agencies—separate from the bank regulatory agencies—at the federal and state levels. [7]

  9. Who Regulates Financial Planners? - AOL

    www.aol.com/finance/regulates-financial-planners...

    Financial planning regulation encompasses a broad range of requirements and rules. The type of regulation […] The post Financial Planning Regulation appeared first on SmartReads by SmartAsset.