Federal Trade Commission: The FTC pursues vigorous and effective law enforcement; advances consumers’ interests by sharing its expertise with federal and state legislatures and U.S. and international government agencies; develops policy and research tools through hearings, workshops, and conferences; and creates practical and plain-language educational programs for consumers and businesses in a global marketplace with constantly changing technologies.
Commodities Futures Trading Commission: The mission of the Commodity Futures Trading Commission (CFTC) is to protect market users and the public from fraud, manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open, competitive, and financially sound futures and option markets.
Municipal Securities Rulemaking Board: makes rules regulating dealers who deal in municipal bonds, municipal notes, and other municipal securities.
Securities & Exchange Commission: The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Securities Investor Protection Corporation: When a brokerage firm is closed due to bankruptcy or other financial difficulties and customer assets are missing, SIPC steps in as quickly as possible and, within certain limits, works to return customers' cash, stock and other securities. Without SIPC, investors at financially troubled brokerage firms might lose their securities or money forever or wait for years while their assets are tied up in court.
Swiss Futures & Options Association: was founded in 1979 as a non-profit professional association for the purpose of promoting derivative financial instruments, particularly standard futures and options contracts on financial instruments and commodities, to the widest possible audience, and to serve the interests of its members.
This page was last updated on: June 19, 2008
REGULATORY AGENCIES
Federation of European Securities Exchanges: represents operators of the European regulated markets and other market segments, comprising the markets for securities, financial derivatives and energy and commodity derivatives.
The Securities Industry and Financial Markets Association(SIFMA): To champion policies and practices that benefit investors and issuers, expand and perfect global capital markets, and foster the development of new products and services. Fundamental to achieving this mission is earning, inspiring and upholding the public’s trust in the industry and the markets.
International Organization of Securities Commissions: The member agencies currently assembled together in the International Organization of Securities Commissions have resolved, through its permanent structures: to cooperate together to promote high standards of regulation in order to maintain just, efficient and sound markets; to exchange information on their respective experiences in order to promote the development of domestic markets; to unite their efforts to establish standards and an effective surveillance of international securities transactions; to provide mutual assistance to promote the integrity of the markets by a rigorous application of the standards and by effective enforcement against offenses.
International Securities Market Association is the self-regulatory organisation and trade association which represents constituents and practitioners in the international capital market worldwide.
Investment Dealers Association of Canada: As Canada's national self-regulatory organization for the securities industry, the IDA regulates the activities of investment dealers in terms of both their capital adequacy and conduct of business.
North American Securities Administrators Association: For nearly 100 years, state securities regulators have been protecting Main Street investors from fraud. State securities regulation predates the creation of the federal Securities and Exchange Commission by almost two decades.
