Financial Regulation Financial Terms & Definitions

24 terms in this topic

Financial regulation encompasses the legal framework established by government agencies and regulatory bodies to oversee the operations of banks, investment firms, insurance companies, and other financial entities. Its primary goals are to maintain the integrity of financial systems, prevent fraud and abuse, and protect investors and consumers from unfair practices.

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CFTC

The CFTC, or Commodity Futures Trading Commission, is an independent federal agency in the United States responsible for regulating the…

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FDIC

The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the United States government that protects depositors against the…

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Form ADV

Form ADV is the uniform registration form that investment advisers must file with the Securities and Exchange Commission (SEC) and…

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Form S-1

Form S-1 is a registration statement filed with the Securities and Exchange Commission (SEC) by companies planning to go public…

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Accredited investor An accredited investor is an individual or entity that meets specific financial criteria established by the Securities and… CFPB (Consumer Financial Protection Bureau) The Consumer Financial Protection Bureau (CFPB) is a United States government agency responsible for making sure banks, lenders,… CFTC The CFTC, or Commodity Futures Trading Commission, is an independent federal agency in the United States responsible for… Dodd-Frank Act The Dodd-Frank Wall Street Reform and Consumer Protection Act (commonly known as the Dodd-Frank Act) is a landmark… FDIC The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the United States government that protects depositors… Federal Reserve Board The Federal Reserve Board, often called the Federal Reserve Board of Governors, is the main governing body of… Fiduciary duty Fiduciary duty is a legal obligation that requires one party, known as the fiduciary, to act solely in… Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority (FINRA) is a private, non-profit organization that acts as a self-regulatory organization (SRO)… Form ADV Form ADV is the uniform registration form that investment advisers must file with the Securities and Exchange Commission… Form S-1 Form S-1 is a registration statement filed with the Securities and Exchange Commission (SEC) by companies planning to… Glass-Steagall Act The Glass-Steagall Act (officially the Banking Act of 1933) was a landmark piece of U.S. legislation that created… Investment Advisers Act of 1940 The Investment Advisers Act of 1940 is a landmark piece of federal legislation that established the legal framework…