User:Alexkachanov/Finance/Regulation

Laws

• 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.

• RegNMS in USA
• MiFID in Europe

Government Bodies

USA

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

Australia

• Australian Securities and Investments Commission (ASIC)

Self-regulating organizations (SRO)

• commodities and futures industry in USA - National Futures Association - NFA

• SIPC - Securities Investor Protection Corporation

International

• Securities Industry Association - SIA: http://www.siaonline.org/