The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock exchanges are governed by their own organizations, under the direction of the SEC. Stock brokers and brokerage firms are regulated by the Financial Industry Regulatory Authority (FINRA) which was formerly known as the National Association of Securities Dealers (NASD). In addition, each state has its own securities commission, which regulates the issuance, purchase and sale of securities in their jurisdictions.
For an introduction to the Federal Securities laws see Introduction to the Federal Securities Laws
For an introduction to the State Securities Laws, see Introduction to the Blue Sky Laws
For a list of state regulators, and their securities laws, see State Securities Law Administrators
The State Securities Administrators have their own organization – the North American Securities Administrators Association (NASAA)
Related Articles
- How to Hire a Securities Defense Attorney to Respond to an SEC Subpoena
- Defense of an SEC Enforcement Investigation
- What Does a Securities Lawyer Do?
- SEC’s Fast Answers – Rule 504
- FINRA – Financial Industry Regulatory Authority
- Advisor Charged With Targeting Elderly Clients In $8M Fraud
- Former Pharmaceutical Global IT Manager Settles SEC $8 Million Insider Trading Case, Criminal Case Still Pending
- Here They Come – Trader Settles SEC Charges Regarding “Meme Stocks”
- UBS YES Losses?
- SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
- New Jersey Real Estate Development Firm and Four Executives Charged With $600 Million Ponzi-like Fraud
- SEC Charges Unregistered Brokers that Facilitated more than $1.2 Billion in Primarily Penny Stock Trades
- Twitter to Pay $182 Million in Class Action Attorneys’ Fees
- AT&T Settles SEC Charge of Selectively Disclosing Material Information to Wall St. Analysts
- SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution
Need help with a securities law issue? Call New York Securities Lawyer at 212-509-6544 or visit the website. Representing investors and advisers across the country for over 30 years.
