FAQ, Investors, Securities Law Dictionary

Who regulates the stock market in the US?

January 30, 2016 1:03 pm Views: 3597

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)

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