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  2. Financial Industry Regulatory Authority - Wikipedia

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

    The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Association of Securities Dealers, Inc. ( NASD ) as well as to the member regulation, enforcement, and ...

  3. Category : Financial regulatory authorities by country

    en.wikipedia.org/wiki/Category:Financial...

    Financial regulatory authorities of the United States (2 C, 30 P) Pages in category "Financial regulatory authorities by country" This category contains only the following page.

  4. National Financial Regulatory Administration - Wikipedia

    en.wikipedia.org/wiki/National_Financial...

    The National Financial Regulatory Administration (NFRA) is a regulatory agency, under the State Council of the People's Republic of China. It is responsible for overseeing the financial sector (including banking and insurance) in China, except securities .

  5. Financial regulatory authority - Wikipedia

    en.wikipedia.org/wiki/Financial_regulatory_authority

    Whereas most financial regulatory authorities have a national mandate, there are instances of both subnational and supranational authorities: Subnational authorities are extant most prominently in Canada and the United States, at the level of individual provinces and states respectively, and in autonomous territories such as British Overseas Territories and Crown Dependencies, Constituent ...

  6. Swiss Financial Market Supervisory Authority - Wikipedia

    en.wikipedia.org/wiki/Swiss_Financial_Market...

    The Swiss Financial Market Supervisory Authority (FINMA; German: eidgenössische Finanzmarktaufsicht, French: Autorité fédérale de surveillance des marchés financiers, Italian: Autorità federale di vigilanza sui mercati finanziari) is the Swiss government body responsible for financial regulation.

  7. European Securities and Markets Authority - Wikipedia

    en.wikipedia.org/wiki/European_Securities_and...

    The ESMA regulation states in Article 1(5): "The objective of the Authority shall be to protect the public interest by contributing to the short-, medium- and long-term stability and effectiveness of the financial system, for the Union economy, its citizens and businesses."

  8. Financial regulation - Wikipedia

    en.wikipedia.org/wiki/Financial_regulation

    Financial regulation is a broad set of policies that apply to the financial sector in most jurisdictions, justified by two main features of finance: systemic risk, which implies that the failure of financial firms involves public interest considerations; and information asymmetry, which justifies curbs on freedom of contract in selected areas of financial services, particularly those that ...

  9. Financial Services Regulatory Authority of Ontario - Wikipedia

    en.wikipedia.org/wiki/Financial_Services...

    The Financial Services Regulatory Authority of Ontario (FSRA; French: Autorité ontarienne de réglementation des services financiers) is a self-funding Crown agency which acts as the financial regulator for the Canadian province of Ontario.