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)
- Accredited Investor Definition
- What Does a Securities Lawyer Do?
- Securities Attorney
- Proposed MSRB Interpretations
- End Mandatory Arbitration?
- Qualified Immunity for NASD
- What Happens If I Ignore an SEC Subpoena?
- Customer Ratifies Unauthorized trades
- Securities Enforcement Investigations
- Liar, Liar?
- SEC Fast Answers – Rule 506
- Control person liability requires culpable participation.
- Securities Arbitration Attorney – FINRA Arbitration
- SEC Subpoena, FINRA OTR – What do I do?
- What is a Security?
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.