Tag: regulatory
Canadian Securities Administrators (CSA)
What is 'Canadian Securities Administrators - CSA' A collective forum composed of all the provincial and territorial securities regulators of Canada. The...
Federal Communications Commission (FCC)
DefinitionThe Federal Communications Commission is an independent agency of the United States government created by statute to regulate interstate communications by radio, television, wire,...
Federal Financial Institutions Examination Council (FFIEC)
What is the Federal Financial Institutions Examination Council and what do they do
The Federal Financial Institutions Examination Council (FFIEC) is a U.S. government organization...
Federal Energy Regulatory Commission (FERC)
What is 'Federal Energy Regulatory Commission - FERC' An independent agency responsible for regulating interstate oil and gas pipelines and sales, as...
Federal Agencies
What is 'Federal Agencies' Special government organizations set up for a specific purpose such as the management of resources, financial oversight of...
Dodd-Frank Wall Street Reform and Consumer Protection Act
DefinitionThe Dodd–Frank Wall Street Reform and Consumer Protection Act was signed into United States federal law by US President Barack Obama on July 21,...
Undertakings For The Collective Investment Of Transferable Securities (UCITS)
What is the 'Undertakings For The Collective Investment Of Transferable Securities - UCITS' The Undertakings for the Collective Investment of Transferable Securities...
Know Your Client (KYC)
What is 'Know Your Client - KYC' The Know Your Client form is a standard form in the investment industry that ensures...
National Registration Database (NRD)
What is 'National Registration Database - NRD' A Canadian database, launched in 2003 to replace the old paper form system, that allows...
National Securities Markets Improvement Act (NSMIA)
What is 'National Securities Markets Improvement Act - NSMIA' Passed by the U.S. Congress in 1996, the NSMIA was an attempt to...