Regulation

Unlock the mystery behind Self-Regulatory Organizations (SROs), their role in industry standards, investor protection, and professional ethics.

Learn all about what a broker does, how they operate in financial and real estate markets, the types of brokers, their compensation, and regulatory standards.

Dive deep into the National Registration Database (NRD)—its structure, purpose, and benefits for the Canadian securities industry.

Discover in-depth insights into the U.S. House Financial Services Committee, its members, key oversight duties, and ongoing legislative focus.

Explore what a monopoly is, the types of monopolies, pros and cons, and how antitrust legislation regulates them to ensure a competitive market.

Explore the role and impact of Nonbank Financial Companies (NBFCs) in the finance industry, their advantages, controversies, and examples in the marketplace.

Explore the dynamics of moratoriums, their uses, and how they help in times of financial or legal strain.

Learn how the 'Too Big to Fail' phenomenon shapes economies, why governments intervene, and the lasting effects of such financial infallibility on global markets.

Dive into the essential role dealers play in the securities market, how they make profits, their regulatory obligations, and how they differ from brokers.

Discover how the National Securities Markets Improvement Act (NSMIA) revolutionized securities regulation, streamlining authority and paving the way for efficient market operations.

Dive deep into Regulation DD: Learn how it empowers individuals, ensures transparency in banking, and helps consumers make informed decisions about financial accounts.

Explore the pivotal role of the National Association of Insurance Commissioners (NAIC) in setting standards, promoting best practices, and protecting consumers within the U.S. insurance industry.

Discover the importance of the Public Company Accounting Oversight Board in ensuring the quality of audits for publicly traded companies.

Discover the pivotal role of the Federal Communications Commission (FCC) in regulating interstate and international communications, protecting consumer interests, and fostering innovation while maintaining industry standards.