AIFMD alt funds
EUMulti
AIFMD alternative-fund-manager framework
Source: encyclopedia
BCBS Basel Committee
OtherMulti
BCBS Basel Committee bank standards
Source: encyclopedia
CBIRC China banks/insurance
AsiaMulti
CBIRC merged banking + insurance regulator
Source: encyclopedia
CFPB consumer financial
US BankingMulti
CFPB consumer financial protection
Source: encyclopedia
CICC China internet
AsiaMulti
CICC central financial services committee
Source: encyclopedia
CRR/CRD IV/V/VI Basel
EUMulti
CRR/CRD EU implementation of Basel
Source: encyclopedia
CSRC China securities
AsiaMulti
CSRC China Securities Regulatory Commission
Source: Britannica
CSRD corporate sustainability
EUMulti
CSRD corporate-sustainability reporting
Source: encyclopedia
DORA digital operational resilience
EUMulti
DORA digital-resilience framework 2025
Source: encyclopedia
Dodd-Frank Title VII derivatives
US FederalMulti
Title VII swap clearing requirements
Source: encyclopedia
Dodd-Frank Wall Street Reform 2010
US FederalMulti
Dodd-Frank post-GFC reform
Source: encyclopedia
EBA EU banking authority
EUMulti
EBA EU banking regulation
Source: encyclopedia
ECB Single Supervisory
EUMulti
ECB SSM eurozone bank supervision
Source: encyclopedia
EIOPA insurance + pensions
EUMulti
EIOPA EU insurance/pensions authority
Source: encyclopedia
EMIR derivatives clearing
EUMulti
EMIR EU mandatory derivative clearing
Source: encyclopedia
ESMA EU securities regulator
EUMulti
ESMA coordinates EU securities regulation
Source: Britannica
EU Taxonomy Regulation
EUMulti
EU Taxonomy 6 environmental objectives
Source: encyclopedia
FASB US GAAP
OtherMulti
FASB US GAAP standards
Source: encyclopedia
FATF anti-money-laundering
OtherMulti
FATF AML/CFT global standards
Source: encyclopedia
FCA Financial Conduct Authority
UKMulti
FCA UK conduct + market regulator
Source: encyclopedia
FCA Handbook COBS
UKMulti
FCA Conduct of Business rules
Source: encyclopedia
FCA Listing Rules
UKMulti
FCA Listing Rules for primary listings
Source: encyclopedia
FDIC deposit insurance
US BankingMulti
FDIC deposit insurance up to $250K
Source: encyclopedia
FINRA Notice 15-06 algo registration
US SROsMulti
Algo developer registration requirement
Source: encyclopedia
FINRA Notice 15-09 algo trading
US SROsMulti
Algorithmic strategy supervision practices
Source: FINRA
FINRA Rule 4210 margin
US SROsMulti
FINRA margin requirements
Source: encyclopedia
FINRA Rule 5310 best execution
US SROsMulti
Best execution obligation
Source: encyclopedia
FINRA TRACE bond reporting
US SROsMulti
TRACE corporate bond trade reporting
Source: encyclopedia
FINRA broker-dealer SRO
US SROsMulti
FINRA broker-dealer SRO under SEC
Source: Britannica
FSA Japan financial services
AsiaMulti
FSA Japan securities + insurance + banks
Source: encyclopedia
FSB Financial Stability Board
OtherMulti
FSB global financial-stability coordination
Source: encyclopedia
FSC Korea financial services
AsiaMulti
FSC Korea financial-services commission
Source: encyclopedia
FSC Taiwan
AsiaMulti
FSC Taiwan Financial Supervisory Commission
Source: encyclopedia
FSCS deposit/investor protection
UKMulti
FSCS UK protection up to £85K
Source: encyclopedia
FSOC Financial Stability Oversight
US BankingMulti
FSOC systemic risk oversight
Source: encyclopedia
FSS Korea Financial Supervisory
AsiaMulti
FSS Korea financial-supervisory service
Source: encyclopedia
Federal Reserve Board FRB
US BankingMulti
FRB monetary policy + bank supervision
Source: encyclopedia
FinCEN AML BSA
US BankingMulti
FinCEN BSA/AML enforcement
Source: encyclopedia
Form 13F holdings disclosure
US FederalMulti
13F quarterly with 45-day lag
Source: encyclopedia
Form ADV adviser disclosure
US FederalMulti
ADV registration adviser disclosure
Source: encyclopedia
Form CRS customer relationship
US FederalMulti
Form CRS plain-English client summary
Source: encyclopedia
Form PF private fund
US FederalMulti
Form PF systemic-risk reporting
Source: encyclopedia
GLEIF LEI legal entity
OtherMulti
GLEIF Legal Entity Identifier system
Source: encyclopedia
HKMA HK monetary
AsiaMulti
HKMA Hong Kong monetary authority
Source: encyclopedia
IASB int accounting standards board
OtherMulti
IASB sets IFRS
Source: encyclopedia
IFRS S1/S2 sustainability
OtherMulti
IFRS Sustainability standards 2023
Source: encyclopedia
IFRS global accounting
OtherMulti
IFRS global accounting standards
Source: encyclopedia
IOSCO global standards
OtherMulti
IOSCO global securities regulator coordination
Source: encyclopedia
IRDAI India insurance
AsiaMulti
IRDAI India insurance regulator
Source: encyclopedia
ISIN CUSIP security IDs
OtherMulti
ISIN/CUSIP global security ID
Source: encyclopedia
Investment Advisers Act 1940
US FederalMulti
IAA regulates investment advisers
Source: encyclopedia
Investment Company Act 1940
US FederalMulti
40 Act regulates registered funds
Source: encyclopedia
JFSA SESC market surveillance
AsiaMulti
SESC Japan SEC equivalent
Source: encyclopedia
JOBS Act 2012 EGC
US FederalMulti
JOBS Act emerging-growth company easier IPO
Source: encyclopedia
MAS Singapore
AsiaMulti
MAS combined central bank + financial regulator
Source: Britannica
MSRB municipal securities
US SROsMulti
MSRB municipal securities rulemaking
Source: encyclopedia
Market Abuse Regulation MAR
EUMulti
MAR insider-trading + market-abuse
Source: encyclopedia
Marketing Rule 206(4)-1
US FederalMulti
Adviser marketing rule (replaced testimonials)
Source: encyclopedia
MiCA crypto-assets
EUMulti
MiCA EU crypto framework
Source: encyclopedia
MiFID II markets framework
EUMulti
MiFID II 2018 EU markets framework
Source: encyclopedia
MiFIR transparency
EUMulti
MiFIR pre/post-trade transparency
Source: encyclopedia
NFA futures SRO
US SROsMulti
NFA futures SRO designated by CFTC
Source: Britannica
OCC Comptroller Currency
US BankingMulti
OCC national-bank charter + supervision
Source: encyclopedia
OFAC sanctions enforcement
US BankingMulti
OFAC US Treasury sanctions enforcement
Source: encyclopedia
PBOC China central bank
AsiaMulti
People's Bank of China
Source: encyclopedia
PCAOB audit oversight
OtherMulti
PCAOB US public-company auditor regulation
Source: encyclopedia
PFRDA India pensions
AsiaMulti
PFRDA India pensions regulator
Source: encyclopedia
PRA Prudential Regulation
UKMulti
PRA UK prudential regulator banks/insurers
Source: encyclopedia
PRIIPs KID disclosure
EUMulti
PRIIPs Key Information Documents
Source: encyclopedia
Pay-to-Play Rule 206(4)-5
US FederalMulti
Pay-to-play rules adviser-political contributions
Source: encyclopedia
RBI India banking
AsiaMulti
RBI India central bank + bank regulator
Source: encyclopedia
Reg A+ small-cap IPO
US FederalMulti
Reg A+ smaller-cap IPO route
Source: encyclopedia
Reg ATS alternative trading
US FederalMulti
Reg ATS dark pool regulation
Source: encyclopedia
Reg BI Best Interest 2019
US FederalMulti
Reg BI broker-dealer best-interest standard
Source: encyclopedia
Reg CF crowdfunding
US FederalMulti
Reg CF crowdfunding rules
Source: encyclopedia
Reg NMS National Market System
US FederalMulti
Reg NMS modernized US equity markets
Source: encyclopedia
Reg SCI systems compliance integrity
US FederalMulti
Reg SCI 2014 system-resilience standards
Source: CFTC
Reg SHO short-sale rules
US FederalMulti
Reg SHO short-sale locate + close-out
Source: encyclopedia
Rule 144 control stock sales
US FederalMulti
Rule 144 affiliate-share resale rules
Source: encyclopedia
Rule 144A institutional resale
US FederalMulti
144A QIB-only secondary
Source: encyclopedia
Rule 506(b) (c) Reg D
US FederalMulti
Reg D private placement rules
Source: encyclopedia
SEBI 2024 F&O reforms
AsiaMulti
SEBI Oct 2024 F&O speculation reforms
Source: encyclopedia
SEBI India
AsiaMulti
SEBI Indian securities regulator
Source: Britannica
SEC Securities Act 1933
US FederalMulti
Truth in securities - registration disclosure
Source: encyclopedia
SEC Securities Exchange Act 1934
US FederalMulti
SEC empowered for broad securities authority
Source: Investor.gov
SFC Hong Kong securities
AsiaMulti
SFC HK securities + futures regulator
Source: encyclopedia
SFDR sustainable finance
EUMulti
SFDR sustainability disclosures
Source: encyclopedia
SIPC investor protection
US SROsMulti
SIPC up to $500K (cash $250K) protection
Source: encyclopedia
SWIFT messaging
OtherMulti
SWIFT global financial messaging
Source: encyclopedia
Sarbanes-Oxley 2002
US FederalMulti
SOX corporate governance + audit
Source: encyclopedia
Short Selling Regulation SSR
EUMulti
EU short-selling disclosure thresholds
Source: encyclopedia
T+1 settlement May 2024
US FederalMulti
T+1 settlement effective May 2024 US
Source: encyclopedia
TCFD climate disclosure
OtherMulti
TCFD climate-disclosure framework (now ISSB)
Source: encyclopedia
Trust Indenture Act 1939
US FederalMulti
TIA - bond trust indenture standards
Source: Investor.gov
UCITS retail funds
EUMulti
UCITS European retail-fund framework
Source: encyclopedia
UK MiFID Onshored post-Brexit
UKMulti
UK retained MiFID post-Brexit
Source: encyclopedia
UK SMCR Senior Managers
UKMulti
Senior Managers + Certification Regime
Source: encyclopedia
USA PATRIOT Act KYC
US BankingMulti
USA PATRIOT Act KYC/AML standards
Source: encyclopedia
Volcker Rule 619 prop ban
US FederalMulti
Volcker prohibits prop-trading by banks
Source: encyclopedia
Whistleblower programs SEC/CFTC
US FederalMulti
Whistleblower programs incentivize tips
Source: Britannica
An encyclopedia of publicly documented strategies for education. YCAI does not recommend, endorse, or trade any of these. Not investment advice.