The U.S. Securities and Exchange Commission is an independent, nonpartisan, quasi-judicial regulatory agency with responsibility for administering the federal securities laws. The purpose of these laws is to protect investors in securities markets that operate fairly and to ensure that investors have access to disclosure of all material information concerning publicly traded securities. The Commission also regulates firms engaged in the purchase or sale of securities, people who provide investment advice, and investment companies.
The National Association of Securities Dealers is the largest securities industry self-regulatory organization in the United States. Through its subsidiaries, FINRA Regulation, Inc., and The Nasdaq Stock Market, Inc., the FINRA develops rules and regulations, conducts regulatory reviews of members' business activities, disciplines violators, and designs, operates, and regulates securities markets and services all for the ultimate benefit and protection of the investor.
FINRA Regulation Inc. is an independent subsidiary of the FINRA that regulates the activities of broker/dealers in the over-the-counter industry and The Nasdaq Stock Market. FINRA carries out its regulatory responsibilities through education, examinations, market surveillance, registration of securities personnel, advertising and underwriting reviews, disciplinary actions that violate rules, investigation of customer complaints, and forums to resolve disputes. FINRA also regulates the sale of mutual funds, direct participation programs, and variable annuities.
North American Securities Administrators Association (NASAA) is a voluntary association with a membership consisting of the 65 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Canada, Mexico, and Puerto Rico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for grass-roots investor protection and efficient capital formation.
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