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/