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SECURITIES INDUSTRY REGULATING BODIES



NOTE: These bodies have varied powers and jurisdictions. As such, some companies belong to multiple associations. Checking the members' links can reveal a lot.


AIMA - Alternative Investments Association (Derivatives)
ASIC - Australian Securities & Investment Commission
BIS - Bank for International Settlements, Basel
CFTC - Commodity Futures Trading Commission
FIA/FII-Futures Industry Association/Futures Industry Institute
FIBV - International Federation of Stock Exchanges
IAFE - International Association of Financial Engineers (Derivatives)
IOSCO - World Securities Regulation Association
ISDA - International Swaps & Derivatives Association
OIC - Options Industry Council
MFA - Managed Funds Association
NASD - National Association of Security Dealers, Inc.
NFA-National Futures Association
NASAA-North American Securities Administrators Association-Oldest International body-Very resourceful
SCFOA - Swiss Futures & Options Association
SEC - U.S. Securities and Exchange Commission
SIA - Securities Industry Association
U.S. States Securities Regulating Agencies

 

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