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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JOBS Act

The JOBS Act, officially the Jumpstart Our Business Startups Act, is a landmark piece of U.S. legislation signed into law…

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NCUA

The NCUA, or National Credit Union Administration, is an independent federal agency created by the United States Congress to regulate,…

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PCAOB

The PCAOB (Public Company Accounting Oversight Board) is a nonprofit corporation established by the Sarbanes-Oxley Act of 2002. It oversees…

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SIPC

The Securities Investor Protection Corporation (SIPC) is a nonprofit, membership-funded organization created by the Securities Investor Protection Act of 1970.…

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Investment Company Act of 1940 The Investment Company Act of 1940 is a landmark piece of U.S. federal legislation that created a comprehensive… JOBS Act The JOBS Act, officially the Jumpstart Our Business Startups Act, is a landmark piece of U.S. legislation signed… NCUA The NCUA, or National Credit Union Administration, is an independent federal agency created by the United States Congress… OCC (Office of the Comptroller of the Currency) The Office of the Comptroller of the Currency (OCC) is an independent bureau within the U.S. Department of… PCAOB The PCAOB (Public Company Accounting Oversight Board) is a nonprofit corporation established by the Sarbanes-Oxley Act of 2002.… Regulation Best Interest (Reg BI) The Regulation Best Interest (Reg BI) is a rule established by the U.S. Securities and Exchange Commission (SEC)… Regulation D Regulation D is a rule from the U.S. Securities and Exchange Commission (SEC) that allows companies to raise… Sarbanes-Oxley Act The Sarbanes-Oxley Act (often called SOX) is a landmark U.S. federal law enacted in 2002 to restore public… Securities Act of 1933 The Securities Act of 1933 is a landmark piece of federal legislation enacted in the United States in… Securities and Exchange Commission (SEC) The Securities and Exchange Commission (SEC) is the primary federal agency responsible for enforcing federal securities laws, regulating… Securities Exchange Act of 1934 The Securities Exchange Act of 1934 is a landmark United States federal law that created the legal framework… SIPC The Securities Investor Protection Corporation (SIPC) is a nonprofit, membership-funded organization created by the Securities Investor Protection Act…