Financial Markets

  1. Regulation and Market Oversight
    1. Regulatory Framework Rationale
      1. Investor Protection
        1. Disclosure Requirements
          1. Anti-Fraud Provisions
          2. Market Integrity
            1. Fair Trading Practices
              1. Market Manipulation Prevention
              2. Systemic Risk Management
                1. Financial Stability
                  1. Contagion Prevention
                  2. Capital Formation Facilitation
                    1. Efficient Capital Markets
                      1. Access to Capital
                    2. Regulatory Bodies and Organizations
                      1. Securities Regulators
                        1. Securities and Exchange Commission
                          1. Financial Industry Regulatory Authority
                            1. State Securities Regulators
                            2. Banking Regulators
                              1. Federal Reserve System
                                1. Office of the Comptroller of the Currency
                                  1. Federal Deposit Insurance Corporation
                                  2. Derivatives Regulators
                                    1. Commodity Futures Trading Commission
                                      1. National Futures Association
                                      2. International Regulatory Bodies
                                        1. International Organization of Securities Commissions
                                          1. Basel Committee on Banking Supervision
                                            1. Financial Stability Board
                                          2. Key Regulatory Concepts
                                            1. Registration and Disclosure
                                              1. Securities Registration
                                                1. Periodic Reporting
                                                  1. Proxy Disclosure
                                                  2. Market Conduct Rules
                                                    1. Best Execution Requirements
                                                      1. Order Handling Rules
                                                        1. Trade Reporting
                                                        2. Capital and Liquidity Requirements
                                                          1. Bank Capital Standards
                                                            1. Broker-Dealer Net Capital Rules
                                                              1. Margin Requirements
                                                              2. Anti-Money Laundering
                                                                1. Customer Identification Programs
                                                                  1. Suspicious Activity Reporting
                                                                    1. Record Keeping Requirements
                                                                  2. Enforcement and Compliance
                                                                    1. Examination and Supervision
                                                                      1. Regulatory Examinations
                                                                        1. Compliance Monitoring
                                                                        2. Enforcement Actions
                                                                          1. Civil Penalties
                                                                            1. Criminal Referrals
                                                                              1. Administrative Proceedings
                                                                              2. Self-Regulation
                                                                                1. Self-Regulatory Organizations
                                                                                  1. Industry Standards
                                                                                    1. Best Practices

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                                                                                17. Risk Management in Financial Markets

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                                                                                19. Financial Technology and Market Innovation