Cryptocurrency
Securities and Exchange Commission (SEC)
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) is a regulatory agency in the United States that oversees and enforces federal securities laws. It was established in 1934 under the Securities Exchange Act to protect investors, maintain fair and efficient markets, and facilitate capital formation. Here are some key details about the SEC: Investor Protection: […]
Retail Foreign Exchange Dealer (RFED)
A Retail Foreign Exchange Dealer (RFED) is a financial institution or company that engages in retail forex trading. RFEDs provide individuals and small investors with access to the forex market, allowing them to trade currencies. Here is a more detailed explanation of what an RFED is: Regulatory Framework: RFEDs operate under the oversight and […]
Regulation
Regulation refers to a set of rules and guidelines established and enforced by a government or authority to regulate and control a specific sector, industry, activity, or society as a whole. These rules are created to ensure compliance, maintain order, protect public interest, and achieve specific objectives. Regulations are typically determined and implemented by […]
NFA (National Futures Association)
The National Futures Association (NFA) is a self-regulatory organization (SRO) in the United States that oversees and regulates the activities of firms and individuals in the futures and derivatives markets. It was established in 1982 under the supervision of the Commodity Futures Trading Commission (CFTC). The primary mission of the NFA is to protect […]
National Futures Association (NFA)
The National Futures Association (NFA) is a self-regulatory organization (SRO) that operates in the United States and oversees the futures and forex markets. It was established in 1982 and is authorized by the Commodity Futures Trading Commission (CFTC) to regulate the activities of its members. The primary mission of the NFA is to protect […]
MiFID II (Markets in Financial Instruments Directive II)
MiFID II (Markets in Financial Instruments Directive II) is a comprehensive regulatory framework introduced by the European Union (EU) to regulate financial markets and promote a more transparent, competitive, and reliable environment. MiFID II came into effect on January 3, 2018, replacing the previous MiFID regulation. The primary objective of MiFID II is to […]
Markets in Financial Instruments Directive (MiFID)
The Markets in Financial Instruments Directive (MiFID) is a European Union (EU) regulation that was introduced in 2007. It aims to harmonize and regulate financial markets and investment services within the EU. MiFID replaced the previous Investment Services Directive (ISD) and brought significant changes to the regulatory framework. The main objectives of MiFID are […]
Investment Industry Regulatory Organization of Canada (IIROC)
The Investment Industry Regulatory Organization of Canada (IIROC) is the regulatory organization for Canada’s investment industry. IIROC is responsible for regulating, overseeing, and protecting brokerage firms and investment advisors operating in Canada’s financial investment sector. IIROC is an organization that regulates capital market activities across all provinces and territories in Canada. Its primary objective […]
Futures Commission Merchant (FCM)
A Futures Commission Merchant (FCM) is a financial intermediary that is registered and regulated by regulatory authorities to facilitate futures and options trading. FCMs act as intermediaries between traders and the futures exchanges, providing services related to the execution, clearing, and settlement of futures and options contracts. Here are some key points about Futures […]
Financial Institution (FI)
A financial institution (FI) is a company or organization that provides financial services to individuals, businesses, and other entities. FIs play a crucial role in the economy by facilitating the flow of funds between savers and borrowers, managing risks, and providing various financial services. Here are some key characteristics and functions of financial institutions: […]
