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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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.
Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
