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Finance: Regulatory Agencies

Other Agencies

U.S. Agencies

FINRA (Financial Industry Regulatory Authority) is the largest independent regulator for all securities firms doing business in the United States.

FDIC (Federal Deposit Insurance Corporation)

maintains stability and public confidence in the nation's financial system.

The North American Securities Administrators Association (NASAA) has a link to the directory of Securities Laws & Regulations in all the states.

SEC (U.S. Securities and Exchange Commission) main mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.     

Subject Guide

Pauly Iheanacho, Ed.D.'s picture
Pauly Iheanacho, Ed.D.
(302) 831-6946