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Directories

Regulatory Groups

 

American Stock Exchange (AMEX)

Offices: New York, New York

AMEX has been a pioneer in market innovation for more than a century and remains committed to developing successful new investment products and innovative services for companies and investors. As the nation's most diversified financial marketplace, the American Stock Exchange conducts trading through an advanced centralized specialist system and is committed to providing a superior marketplace for the investing public and its members.

Chicago Mercantile Exchange (CME)

Offices: Chicago, Illinois

As the leading futures exchange in the United States, Chicago Mercantile Exchange® (CME) is vital to the infrastructure of global finance. Their products—futures and options on futures contracts—help commercial enterprises worldwide manage price risks related to the uncertainties of supply and demand. From its roots in the agricultural industry, CME furthered its reputation for innovation when it introduced the world's first financial futures more than 30 years ago. Today, CME products include interest rates, stock indexes, foreign exchange and commodities.

Digital Millennium Copyright Act of 1998 (DMCA)

Offices: Washington, DC

The Digital Millennium Copyright Act (DMCA) was signed into law by President Clinton on October 28, 1998. The legislation implements two 1996 World Intellectual Property Organization (WIPO) treaties: the WIPO Copyright Treaty and the WIPO Performances and Phonograms Treaty. The DMCA also addresses a number of other significant copyright-related issues.

Hong Kong Exchange (HKEx)

Offices: Hong Kong, China

HKEx is the holding company of The Stock Exchange of Hong Kong Limited, Hong Kong Futures Exchange and Hong Kong Securities Clearing Company. It brings together the market organizations which have transformed Hong Kong's financial services industry from a domestically focused industry to the global player it is today. HKEx went public in June 2000 following the integration of the securities and futures market. As a listed company, answerable to its shareholders, HKEx competes vigorously for opportunities in the region and around the world. It is a market-driven business, operating business-driven markets.

London Stock Exchange (LSE)

Offices: Hong Kong, China

The London Stock Exchange's strategy is to compete globally in the market for financial transaction services and become the market of choice. Their revenues are derived from activities in 3 main business areas: Issuer Services, Broker Services and Information Services. In line with their strategy, these services have a shared focus on maintaining and enhancing their high standards of customer service while looking to increase the reach and scale of their businesses by building on their core capabilities.

National Association of Securities Dealers (NASDAQ)

Offices: New York, New York

NASDAQ, since its debut in 1971 as the world's first electronic stock market, has been at the forefront of innovation, using technology to bring millions of investors together with the world's leading companies. Today, NASDAQ is the world's largest electronic stock market, listing approximately 3,600 of the world's most innovative companies. It is home to category-defining companies that are leaders across all areas of business including technology, retail, communications, financial services, media and biotechnology industries.

New York Stock Exchange (NYSE)

Offices: New York, New York

NYSE traces its origins to a founding agreement in 1792. The NYSE registered as a national securities exchange with the US Securities and Exchange Commission on October 1, 1934. The Governing Committee was the primary governing body until 1938, at which time The Exchange hired its first paid president and created a thirty-three member Board of Governors. The Board included Exchange members, non-member partners from both New York and out-of-town firms, as well as public representatives. Currently, the NYSE Board of Directors is comprised of 27 members: 12 directors from the securities industry and 12 public directors, the Chairman and CEO, and the two Presidents, co-COOs and Executive Vice Chairmen.

Over The Counter Bulletin Board (OTCBB)

Offices: New York, New York

The OTC Bulletin Board (OTCBB) is a regulated quotation service that displays real-time quotes, last-sale prices, and volume information in over-the-counter (OTC) equity securities. An OTC equity security generally is any equity that is not listed or traded on Nasdaq or a national securities exchange.  OTCBB securities include national, regional, and foreign equity issues, warrants, units, American Depositary Receipts (ADRs), and Direct Participation Programs (DPPs). In April 1998, all foreign securities and ADRs that are fully registered with the SEC became eligible for the display of real-time quotes, last-sale prices, and volume information on the OTCBB.

Sarbanes Oxley Rulemaking & Reports

Offices: Washington, DC

Sarbanes-Oxley contains many advances for corporate governance, although it also represents what formerly would have been an unimaginable incursion of the US federal government into the corporate governance arena. Historically, the individual states generally had exclusive jurisdiction over corporate governance matters. Sarbanes-Oxley attempts to provide fundamental mechanisms to prevent the misdeeds that led to investor losses. These mechanisms are intended as best practices. Many are not outright requirements, but are requirements on corporations to disclose aspects and then let the market decide what importance to put on that disclosure.

Toronto Stock Exchange (TSX)

Offices: Toronto, Ontario

TSX Group is a cornerstone of the Canadian financial system and is at the centre of Canada's equity capital market. TSX Group owns and operates Canada's two national stock exchanges—Toronto Stock Exchange serving the senior equity market, and TSX Venture Exchange serving the public venture equity market—as well as NGX, a leading North American exchange for the trading and clearing of natural gas and electricity contracts. From its preeminent domestic base, TSX Group's reach continues to extend internationally, through TSX Markets and TSX Datalinx.

United States Department of Labor: Bureau of Labor Statistics (BLS)

Offices: Washington, DC

The Bureau of Labor Statistics is the principal fact-finding agency for the Federal Government in the broad field of labor economics and statistics. With the strongest commitment to integrity and objectivity, the BLS will be premier among statistical agencies, producing impartial, timely, and accurate data relevant to the needs of their users and to the social and economic conditions of their Nation, its workers, and their families.

United States Federal Communications Commission (FCC)

Offices: Washington, DC

The Federal Communications Commission (FCC) is an independent United States government agency, directly responsible to Congress. The FCC was established by the Communications Act of 1934 and is charged with regulating interstate and international communications by radio, television, wire, satellite and cable. The FCC's jurisdiction covers the 50 states, the District of Columbia, and US possessions.

United States Federal Trade Commission (FTC)

Offices: Washington, DC

The Federal Trade Commission (FTC) works to ensure that the nation's markets are vigorous, efficient and free of restrictions that harm consumers. Experience demonstrates that competition among firms yields products at the lowest prices, spurs innovation and strengthens the economy. Markets also work best when consumers can make informed choices based on accurate information. To ensure the smooth operation of our free market system, the FTC enforces federal consumer protection laws that prevent fraud, deception and unfair business practices.

United States Securities & Exchange Commission (SEC)

Offices: Washington, DC

SEC is empowered broad authority over all aspects of the securities industry. This includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies as well as the nation's securities self regulatory organizations (SROs). The various stock exchanges, such as the New York Stock Exchange, and American Stock Exchange are SROs. The National Association of Securities Dealers, which operates the NASDAQ system, is also an SRO. The Securities Exchange Act also governs the disclosure in materials used to solicit shareholders' votes in annual or special meetings held for the election of directors and the approval of other corporate action.

United States Small Business Administration (SBA)

Offices: Washington, DC

SBA was officially established in 1953, but its philosophy and mission began to take shape years earlier in a number of predecessor agencies, largely as a response to the pressures of the Great Depression and World War II. Nearly 20 million small businesses have received direct or indirect help from one or another of those SBA programs since 1953, as the agency has become the government's most cost-effective instrument for economic development. In fact, SBA's current business loan portfolio of roughly 219,000 loans worth more than $45 billion makes it the largest single financial backer of the US businesses in the nation.

 

 

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