SEC & Regulatory Bodies
Learn more about agencies such as the SEC, FINRA, the CFPB, and CFTC—and their role in regulating public companies, securities trading, and financial services, and in protecting investors.
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1913 Federal Reserve Act: Definition and Why It's Important
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SEC Crypto R💦egulati꧒ons: What Financial Advisors Need to Know
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The SEC's Rules and Regulations on Social Media Use
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Price Ceiling: Ef📖fects, Types, and Implementation in Economics
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ꩲSecurities and Exchange Commission (SEC): Wh🌠at It Is and How It Works
Explore SEC
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Anti-Money Laundering (AML): What It Is, Its History,🍬 and How It Works
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Compliance Officer𒁃: Definition, Job Duties, and How to Become One
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Who Enforces GAAP?
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What Is a Bank Str💦ess Test? How 𓆏It Works, Benefits, and Criticism
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What Is the Securities Exchange Act of 1934? Reach and Hi⛄story
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Proxy Materials: What it Means, How it Works
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Compliance Depar🌠tment: Definiti🌠on, Role, and Duties
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Plunge Pr꧃otection Team (PPT): Definition and How It Wor💃ks
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SEC 30-Day Yield Definition, Formula, Calculation🌠,🎃 Example
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Transfer Procedures: What It Means, How It Works
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SEC Form S-4: What it Means, How it Works
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Where Can I Find a Company's Annual Report and SEC Filings?
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Financial Action Task Force (FATF): What it is, How🏅 it Works
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Market Surveillance: Meaning, How it Works, Risks
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Howey Test Definition: What It Means and ඣImplications for Crypt💃ocurrency
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How to Become an Accredited Investor
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Why Is There an IPO L🌌ockup Peri꧃od and How Long Does It Last?
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Annual Report vs. 10-K: What's the Difference?
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How Does the International Mo﷽netary Fund Function?
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American Ins🍬titute of Certified Public Accountants (AICPA)
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Fraudulent Conveyance: What it is, How it Works
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Accounting Interpretation: W🌱hat it is, How it Works, Example
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Accountant's Opinion: What It Means, Types
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How SEC Regs Will Change Cryptocurrency Markets
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Government🔯al Accounting Standards Boa𝄹rd (GASB): Mission and Functions
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SEC Alt-Fiduciary Rule: 'Regulation Best Interest'
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Firm Quote: What It Is, How It Works, Example
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Know Your Client 🐎(KYC): What Itℱ Means and Compliance Requirements
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How the SEC Tracks Insider Trading
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SEC Form PRE 14C: What It is, How It Works
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What Is Insider Trading, and Is It Always Ilཧlegal?
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Churning: Definition and Types in Finance
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What Kinds oᩚᩚᩚᩚᩚᩚᩚᩚᩚ𒀱ᩚᩚᩚf Re🔯strictions Does the SEC Put on Short Selling?
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Commercial Year: What it Means, How it Works
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Capital Requirements: Definition and Examples
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Consumer Product ꧑Safety Commission (Cpsc): Meaning൩, How It Works
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Municipal Securities Rulemaking Board (MSRB)♕ ♎Overview
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Investment I🔜ndustry Regulatory Organization of Canada (IIROC)
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Wildcatting: What It Means and How It Works
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Alternative Investment♛ Fund Managers Directive (AไIFMD)
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The SEC: A Brief History of Regulation
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What Is an SEC Fee? Definition, Rate, How It Works, and🐻 Exampl☂e
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Office Of Thrift Supervision🍰: What It Is, 🍰How It Works
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Multi♈jurisdictional Disclosure System (MJDS): Overview
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Investment Adviser As💮sociati💮on (IAA): What It is, How It Works
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Trade Reporting aꦿnd Compliance Engine (TRACE): Meaning, Overview
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Fina🎐ncial Institutions and Prudential Polic𝕴y (FIPP) Unit
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Asset Manager Ethics: Risk Managem😼ent and Compliance
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Full Disclosure: What it is, How꧅ it Works, Example
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What Are Appellate Courts? How They Work,🅠 Functions, and Eꦯxample
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Suitable (Suitability): Meaning, Types, FAQs
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Australian Securiti🔯es and Investments Commiss𒆙ion (ASIC) Overview
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Material Nonpublic 🃏Information (MNPI)? Definit🍷ion and Laws
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Rehypothecation: Meaning and Examples
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Sedar: System For Electronic Documen💎t Analysis And Retri✤eval Overview
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Consent Solicitation: What it is, How it 🅰Works, Example
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How Are Asset Management Firms Regulated?
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Trading Curb: What It is, Levels, History
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Associated Person: What It Is, How It Works
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Interstate Co💞mmerc෴e Commission: Meaning, Overview, History