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FAQs: Financial Markets

REGULATIONS AND REGULATORS

How is the regulation of the U.S. financial markets structured?

Where can I find information on regulation of the Treasury market?

Where can I find information on regulation of the corporate debt and equities markets?

Where can I find information on regulation of the municipal bond market?

Where can I find information on regulation of the derivatives market?

Where can I find information on the regulation of the different financial institutions in the U.S. banking system?

graphic: questionHow is the regulation of the U.S. financial markets structured?

graphic: answerThe various sectors of the U.S. financial markets are regulated by several agencies and institutions. The Bureau of the Public Debt lists links to regulatory sites.

graphic: questionWhere can I find information on regulation of the Treasury market?

graphic: answerInformation on the regulation of the Treasury securities market can be found on the Securities and Exchange Commission (SEC) website and the Bureau of the Public Debt website.

graphic: questionWhere can I find information on regulation of the corporate debt and equities markets?

graphic: answerInformation on the regulation of the corporate debt and equities markets can be found on the Securities and Exhange Commission (SEC) and the National Association of Securities Dealers (NASD) websites.

graphic: questionWhere can I find information on regulation of the municipal bond market?

graphic: answerInformation on the regulation of the municipal bond market can be found on the Municipal Securities Rulemaking Board website.

graphic: questionWhere can I find information on regulation of the derivatives market?

graphic: answerInformation on the regulation of the derivatives market can be found on the Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) websites.

graphic: questionWhere can I find information on the regulation of the different financial institutions in the U.S. banking system?

graphic: answerThe Federal Financial Institutions Examination Council is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the federal examination of financial institutions by the following organizations:

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Financial Markets

Financial Markets FAQ Homepage
 

Financial Markets of the United States

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Regulations and Regulators

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