Securities and Commodities Authority Competitors

The Financial Industry Regulatory Authority, or FINRA, is dedicated to investor protection and market integrity. We regulate one critical part of the securities industry—brokerage firms doing business with the public in the United States. We carry out our mission by overseeing virtually every aspect of the brokerage industry. Every day, we work to: • write and enforce rules governing 3,900 firms and 635,000 brokers; • examine firms for compliance with those rules; • foster market transparency; and • inform the investing public. With 3,600 employees working in communities all across the nation, we are the first line of defense for investors.

The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The SEC's five main divisions are: • Corporation Finance • Trading and Markets • Investment Management • Enforcement • Risk and Economic Analysis The SEC is looking for the brightest minds to solve difficult problems and help strengthen our team in order to better serve as the investor's advocate. We are currently seeking qualified applicants for numerous positions. Opportunities are located in the SEC's Washington, D.C. headquarters and in 11 regional offices in the United States. Disclaimer: http://ow.ly/5hB230oHjhr

We enable a fair and thriving financial services market for the good of consumers and the economy. We do this by: - Regulating the conduct of approximately 50,000 businesses - Prudentially supervising 48,000 firms Our Head Office is based in London, and we have offices in Edinburgh and Leeds. Firms and individuals must be authorised or registered by us to carry out certain activities.Before we grant authorisation, firms must demonstrate that they meet a range of requirements. We then supervise these firms to make sure they continue to meet our standards and rules after they’re authorised. If firms and individuals fail to meet these standards, we have a range of enforcement powers we can use.