Resource Links

EXCHANGES & INDUSTRY ENTITIES

GOVERNMENT SITES

 

 

EXCHANGES & INDUSTRY ENTITIES

 
High-quality banking education and training products and services, voice of the banking industry.
American for Computer Privacy (ACP) is a broad-based coalition working to ensure that the privacy of all Americans' confidential files and communications is preserved and protected in the information age.
Develops and publishes voluntary, consensus technical standards for the financial services industry.
Provides members with resources, information, and leadership, valuable services to benefit the public as well as employers and clients.
Administrator and coordinator of the United States private sector voluntary standardization system.
Undertakes initiatives to raise public awareness about what is needed to ensure long-term personal financial independence.
Corporate secretaries, assistant secretaries and other persons involved in duties normally associated with the corporate secretarial function.
Sophisticated, advanced technology to enhance trading efficiency and reliability for the investing public.
Affiliated with The Bond Market Association, operates as an independent trade group to serve the interests of buyside operations professionals.
Serves more than 29,000 members and, through them, serves investors by educating and examining investment professionals.
Represents securities firms and banks that underwrite, trade and sell debt securities, both domestically and internationally.
An equity derivatives market under the full regulatory responsibility of the Boston Stock Exchange (BSE) subject to the jurisdiction of the US Securities and Exchange Commission (SEC).
A premier national equities exchange, serving individual and institutional investors, its primary business is the trading of 2,000 nationally listed equities.
World's leading futures and options on futures exchange, evolving into a sophisticated and innovative marketplace.
Committed to individual and institutional investors, new products and new technology help meet the needs of the investing community.
International marketplace enabling institutions and businesses to manage their financial risks and allocate their assets.
Provides customers with the highest-quality execution of orders, competitive pricing and cost-effective services.
Ethical dealings with fellow members, the public, customers and employees so that their act will be deemed in good faith.
Independent agency with the mandate to regulate commodity futures and option markets in the United States.
Operated by Standard & Poor's for the American Bankers Association, provides standardized securities descriptions and disseminates this data to the financial marketplace via various media.
A service company owned by members of the financial industry.
Is a holding company, established in September, 1999, that oversees two principal subsidiaries -- The Depository Trust Company (DTC) and the National Securities Clearing Corporation (NSCC). These two firms provide the primary infrastructure for the clearance, settlement and custody of the vast majority of equity, corporate debt and municipal bond transactions in the U.S.
EMCC is a central resource for the clearance, multilateral netting, and risk management of emerging market debt products.
Increase cross-border capital flows by clarifying market practices, promotes consistency between local and international trading standards.
Global clearance and settlement service organization.
Creates and executes monetary policy to influence money and credit conditions in the economy.
Fixed Income Clearing Corporation (FICC) was formed by the merger of the Government Securities Clearing Corporation (GSCC) and the MBS Clearing Corporation (MBSCC) in order to bring greater synergies, cost reductions and efficiencies to the post-trade processing of fixed income instruments. FICC began operations January 1, 2003, and is a subsidiary of The Depository Trust & Clearing Corporation (DTCC).
Provides messaging standards for the electronic exchange of data related to securities transactions.
Only association representative of all organizations that have an interest in the futures market.
Listing of Futures and Options Exchanges by Country including address, telephone, and in some cases a fax number but no hypertext links.
FS/ISAC is a secure technology facility housing the primary database while providing authenticated and, where appropriate, anonymous sharing of information associated with threats, incidents, and vulnerabilities of industry assets and the available resolutions or solutions.
Quality information and education for the futures, options and other derivatives industries.
Success for ethical and competent members who champion the financial planning process to help consumers make smart financial decisions.
The ICA is a non-profit making professional organization dedicated to the furtherance of best compliance and anti money laundering practice in the financial services sector.
The International Forum for Investor Education (IFIE) is a non-commercial, private sector organization whose primary objective is to improve investor education on a worldwide basis so that consumers in all jurisdictions are able to make informed choices about financial products and investments.
Promote high standards of regulation, development of domestic markets and establish standards and effective surveillance in international securities transactions.
ISE's mission is to create and maintain an efficient, cost effective and liquid market for stock options through the introduction of a new market structure and automated trading systems.
Leading global trade association representing participants in the privately negotiated derivatives industry.
Represents its members and their shareholders in matters of legislation, regulation, taxation, public information, economic and policy research, business operations, marketing and statistics.
The KSDA holds its main objective to be contributing to the sound development of the securities market through the regulation of fair business practices among its 64 members, fair trading of securities and investor protection.
Broad product range, money markets, bonds, equities indices and commodities.
Develops rules regulating securities firms and banks involved in underwriting, trading and selling municipal securities.
Develops rules and regulations, conducts regulatory reviews of members' business activities, disciplines violators, and designs, operates, and regulates securities markets and services for the ultimate benefit and protection of the investor.
Electronic trading system that allows market participants to meet over the computer rather than fact to face.
The first U.S. marketplace, since the repeal of the Shad Johnson Accord in September of 2000, to be approved by the CFTC for trading of single stock futures.
Technical assistance, consulting, and advisory services to emerging and developing markets around the world.
Provide benefit to members and stockholders; and to be recognized leader in the development, promotion and use of electronic solutions to improve payments system.
Excellence in financial education, providing knowledge to the general public to help all Americans achieve financial well-being.
Protects the rights of investors in the futures markets.
Advance the practice of investor relations and the professional competency and stature of its members.
Clears and settles about 99% of all stock and bond trading in the U.S.
Nation's first and largest bank clearing house where payments meet, mix and expeditiously move on to their final destinations.
Premier market for energy and metals trading.
Serve the needs of all professionals involved in the investment decision-making process and to assist and educate the investing public.
Protects, educates and supports individual investors, strives to enhance public understanding of the capital formation and allocation process.
Oldest international organization devoted to investor protection.
An independently operated security futures exchange formed as a joint venture by the Chicago Board Options Exchange, Chicago Mercantile Exchange, and the Chicago Board of Trade.
The largest clearing organization in the world for financial derivatives instruments.
OIC is a non-profit organization funded by the nation's options exchanges (AMEX, CBOE, ISE, PCX, PHLX) and The Options Clearing Corporation.  Its mission is to provide to both investors and retail brokers information and education about the equity options marketplace.
Marketplace where investors meet to buy and sell stocks, bonds and other securities.
Marketplace for the trading of stocks, equity options, index options and currency options, develops and introduces new products and services.
Center accepting enforcement tips and complaints concerning any matter relating to the PCAOB and its responsibilities under the Sarbanes-Oxley Act of 2002.
Independent, nonpartisan, quasijudicial regulatory agency with responsibility for administering the federal securities laws.
The Society works to preserve the history of the U.S. Securities and Exchange Commission, sponsor research and educational programs concering the SEC, and enhance understanding of the development of the U.S. and the world's capital markets.
This is a product of the Robert Crown Law Library and Stanford Law School. It provides full text of complaints, motions, judicial opinions and other major class action filings.
The Securities Industry/Regulatory Council on Continuing Education (the Council) has advisory and consultative responsibilities with regard to the development, implementation and ongoing operation of the Securities Industry Continuing Education Program.
Maintains a central database which receives and processes reports and inquiries about missing and stolen securities.
Professional trade organization that works to improve the ethics, business standards and working environment for members, who are engaged in the buying, selling and trading of securities.
Provides representation and leadership in those issues which affect the membership, including government regulation and industry practices.
Listing of all state securities regulators including address and telephone number but no hypertext links.
Collectively manages all aspects of Canada's senior and junior capital markets.

Provides a forum to meet the unique informational needs of information technology and networking professionals in the financial community.

 

GOVERNMENT SITES

 
Publications, research papers, regional information, surveys and programs.
A federal agency whose primary mission is to help prevent, protect against, and respond to acts of terriorism on United States soil; Includes news on latest threats, advisories, planning tips, etc.
Electronic access to corporate filings with the SEC.
Proposed and final rules of various Federal Government Departments and Agencies.
Calendar, press releases, bank holding company cases and links to all Federal Reserve Banks.
Access point for searching, locating, ordering and acquiring government and business information.
Government bulletins, Publication 334, business tax topics and federal forms.
IFCC's mission is to address fraud committed over the Internet. For victims of Internet fraud, IFCC provides a convenient and easy-to-use reporting mechanism that alerts authorities of a suspected criminal or civil violation.
Publications, research information, events and National Digital Library Program.
Legislative reports, member directory, New York State bill information, assembly calendar, public hearing schedule, committee agenda, New York State laws.
Weekly bulletins, enforcement activities, proposed regulations, legal interpretations and press releases.
Sanctions regulations against various foreign countries; foreign asset control regulations for banks, insurance and securities industry; list of specially designated nationals and blocked persons.
Interpretative releases, concept releases, proposed and final rules.
House and Senate floor activities, bills, congressional records and committee information.
Links to the various Treasury offices.
Protects customers of broker-dealers registered with the SEC, promoting confidence in US securities markets.
Social, demographic and economic information.
Consumer and banking information; statistical information; asset information.
Information on Members, Committees and Organizations of the House and legislation.
 
The official site for the White House offers information on the President's initiatives, with access to current Federal economic indicators and links to information produced by a number of Federal agencies.