FINRA has long served as the primary private-sector regulator of America's securities industry. FINRA also oversees the activities of nearly 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. In addition, FINRA provides outsourced regulatory products and services to a number of stock markets and exchanges.
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National Futures Association (NFA) is the industry wide, self-regulatory organization for the U.S. futures industry. We strive every day to develop rules, programs and services that safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities. NFA is an independent regulatory organization with no ties to any specific marketplace. We operate at no cost to the taxpayer. We are financed exclusively from membership dues and from assessment fees paid by the users of the futures markets. Rigorous registration requirements. NFA thoroughly screens all firms and individuals wishing to do business with the public on any U.S. futures exchange. Applicants must meet stringent fitness requirements, including providing fingerprint cards for background checks. Subscribe to receive communications from NFA via email. National Futures Association (NFA) is the industry wide, self-regulatory organization for the U.S. futures industry. We strive every day to develop rules, programs and services that safeguard market integrity, protect investors and help our Members meet their regulatory responsibilities. NFA is an independent regulatory organization with no ties to any specific marketplace. We operate at no cost to the taxpayer. We are financed exclusively from membership dues and from assessment fees paid by the users of the futures markets. Rigorous registration requirements. NFA thoroughly screens all firms and individuals wishing to do business with the public on any U.S. futures exchange. Applicants must meet stringent fitness requirements, including providing fingerprint cards for background checks. Subscribe to receive communications from NFA via email.
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The primary mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors and maintain the integrity of the securities markets. The laws and rules that govern the securities industry in the United States derive from a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it. To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public, which provides a common pool of knowledge for all investors to use to judge for themselves if a company's securities are a good investment. The SEC website also includes the EDGAR Database and SEC Filings & Forms (EDGAR).
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The Commodity Futures Trading Commission (CFTC) was created by Congress in 1974 as an independent agency with the mandate to regulate commodity futures and option markets in the United States. The agency protects market participants against manipulation, abusive trade practices and fraud. Through effective oversight and regulation, the CFTC enables the markets to serve better their important functions in the nation's economy--providing a mechanism for price discovery and a means of offsetting price risk. Toll Free Complaint Line; What to think about before trading commodity futures
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The NYSE is the world's leading and most technologically advanced equities market. A broad spectrum of market participants, including listed companies, individual investors, institutional investors and member firms, create the NYSE market. Buyers and sellers meet directly in a fair, open and orderly market to access the best possible price through the interplay of supply and demand. On an average day, 1.46 billion shares, valued at $46.1 billion, trade on the NYSE. In 2004, the NYSE was again the most competitive venue for trading its listed stocks, providing investors with the lowest costs, deepest liquidity and best prices. Listed Company Directory
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The American Arbitration Association (AAA) is available to resolve a wide range of disputes through mediation, arbitration, elections and other out-of-court settlement procedures. That the AAA has flourished for over 75 years affirms an unparalleled commitment to progressive leadership in alternative dispute resolution (ADR), and the Association's facility for change and service innovation. The history, mission and not-for-profit status of the AAA are unique in the field of alternative dispute resolution. It is, however, the Association's ADR resources -- its panels, rules, administration, and education and training services -- that provide cost-effective and tangible value to counsel, businesses and industry professionals and their employees, customers and business partners.
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