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Regulations and Regulators

How is the regulation of the U.S. financial markets structured?

The various sectors of the U.S. financial markets are regulated by several agencies and institutions. The Bureau of the Public Debt lists links to regulatory sites.

Where can I find information on regulation of the Treasury market?

 Information on the regulation of the Treasury securities market can be found on the Securities and Exchange Commission (SEC) website and the Bureau of the Public Debt website.

Where can I find information on regulation of the corporate debt and equities markets?

Information on the regulation of the corporate debt and equities markets can be found on the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) websites.

Where can I find information on regulation of the municipal bond market?

Information on the regulation of the municipal bond market can be found on the Municipal Securities Rulemaking Board website.

Where can I find information on regulation of the derivatives market?

Information on the regulation of the derivatives market can be found on the Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) websites.

Where can I find information on the regulation of the different financial institutions in the U.S. banking system?

The Federal Financial Institutions Examination Council is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions by the following organizations:

 
Last Updated: 12/5/2010 9:37 AM

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