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31 relations: Bank, Chicago Stock Exchange, Commerce Clause, Commodity Futures Modernization Act of 2000, Commodity Futures Trading Commission, Credit Rating Agency Reform Act, Dodd–Frank Wall Street Reform and Consumer Protection Act, Economic system, Federal Reserve System, Financial adviser, Financial regulation, Garn–St. Germain Depository Institutions Act, Gramm–Leach–Bliley Act, Investment Company Act of 1940, Law of the United States, List of financial regulatory authorities by country, NASDAQ, New York Stock Exchange, Public Utility Holding Company Act of 1935, Regulation D (SEC), Sarbanes–Oxley Act, Securities Act of 1933, Securities Acts Amendments of 1975, Securities commission, Securities Exchange Act of 1934, Securities regulation in the United States, Stock exchange, Temporary National Economic Committee, Trust Indenture Act of 1939, U.S. Securities and Exchange Commission, Williams Act.
Bank
A bank is a financial institution that accepts deposits from the public and creates credit.
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Chicago Stock Exchange
The Chicago Stock Exchange (CHX) is a stock exchange in Chicago, Illinois.
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Commerce Clause
The Commerce Clause describes an enumerated power listed in the United States Constitution (Article I, Section 8, Clause 3).
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Commodity Futures Modernization Act of 2000
The Commodity Futures Modernization Act of 2000 (CFMA) is United States federal legislation that officially ensured modernized regulation of financial products known as over-the-counter derivatives.
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Commodity Futures Trading Commission
The U.S. Commodity Futures Trading Commission (CFTC) is an independent agency of the US government created in 1974, that regulates futures and option markets.
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Credit Rating Agency Reform Act
The Credit Rating Agency Reform Act is a United States federal law whose goal is to improve ratings quality for the protection of investors and in the public interest by fostering accountability, transparency, and competition in the credit rating agency industry.
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Dodd–Frank Wall Street Reform and Consumer Protection Act
The Dodd–Frank Wall Street Reform and Consumer Protection Act (commonly referred to as Dodd–Frank) was signed into United States federal law by US President Barack Obama on July 21, 2010.
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Economic system
An economic system is a system of production, resource allocation and distribution of goods and services within a society or a given geographic area.
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Federal Reserve System
The Federal Reserve System (also known as the Federal Reserve or simply the Fed) is the central banking system of the United States of America.
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Financial adviser
A financial adviser is a professional who suggests and renders financial services to clients based on their financial situation.
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Financial regulation
Financial regulation is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.
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Garn–St. Germain Depository Institutions Act
The Garn–St Germain Depository Institutions Act of 1982 (enacted October 15, 1982) is an Act of Congress that deregulated savings and loan associations and allowed banks to provide adjustable-rate mortgage loans.
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Gramm–Leach–Bliley Act
The Gramm–Leach–Bliley Act (GLBA), also known as the Financial Services Modernization Act of 1999, is an act of the 106th United States Congress (1999–2001).
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Investment Company Act of 1940
The Investment Company Act of 1940 is an act of Congress.
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Law of the United States
The law of the United States comprises many levels of codified and uncodified forms of law, of which the most important is the United States Constitution, the foundation of the federal government of the United States.
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List of financial regulatory authorities by country
The following is an incomplete list of financial regulatory authorities by country.
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NASDAQ
The Nasdaq Stock Market is an American stock exchange.
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New York Stock Exchange
The New York Stock Exchange (abbreviated as NYSE, and nicknamed "The Big Board"), is an American stock exchange located at 11 Wall Street, Lower Manhattan, New York City, New York.
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Public Utility Holding Company Act of 1935
The Public Utility Holding Company Act of 1935 (PUHCA), also known as the Wheeler-Rayburn Act, was a law that was passed by the United States Congress to facilitate regulation of electric utilities, by either limiting their operations to a single state, and thus subjecting them to effective state regulation, or forcing divestitures so that each became a single integrated system serving a limited geographic area.
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Regulation D (SEC)
In the United States under the Securities Act of 1933, any offer to sell securities must either be registered with the United States Securities and Exchange Commission (SEC) or meet certain qualifications to exempt them from such registration.
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Sarbanes–Oxley Act
The Sarbanes–Oxley Act of 2002, also known as the "Public Company Accounting Reform and Investor Protection Act" (in the Senate) and "Corporate and Auditing Accountability, Responsibility, and Transparency Act" (in the House) and more commonly called Sarbanes–Oxley, Sarbox or SOX, is a United States federal law that set new or expanded requirements for all U.S. public company boards, management and public accounting firms.
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Securities Act of 1933
The United States Congress enacted the Securities Act of 1933, also known as the 1933 Act, the Securities Act, the Truth in Securities Act, the Federal Securities Act, or the '33 Act, Title I of Pub.
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Securities Acts Amendments of 1975
The Securities Acts Amendments of 1975 is an act of Congress.
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Securities commission
A securities commission is a government department or agency responsible for financial regulation of securities products within a particular country.
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Securities Exchange Act of 1934
The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (codified at et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.
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Securities regulation in the United States
Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities.
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Stock exchange
A stock exchange, securities exchange or bourse, is a facility where stock brokers and traders can buy and sell securities, such as shares of stock and bonds and other financial instruments.
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Temporary National Economic Committee
The Temporary National Economic Committee (TNEC) was established by a joint resolution of the United States Congress on June 16, 1938 and operated until its defunding on April 3, 1941.
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Trust Indenture Act of 1939
The Trust Indenture Act of 1939 (TIA), codified at, supplements the Securities Act of 1933 in the case of the distribution of debt securities in the United States.
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U.S. Securities and Exchange Commission
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.
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Williams Act
The Williams Act (USA) refers to 1968 amendments to the Securities Exchange Act of 1934 enacted in 1968 regarding tender offers.
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Redirects here:
IAA 1940, Investment Advisers Act, Investment Advisor Act of 1940, Investment Advisors Act, Investment Advisors Act of 1940.
References
[1] https://en.wikipedia.org/wiki/Investment_Advisers_Act_of_1940
