Investment Management

The Financial Industry Regulations Authority (FINRA) enables investors and firms to participate in the market by safeguarding its integrity. FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers.

The SEC is mainly responsible for implementing a series of regulatory initiatives required under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
"The SEC protects investors, promotes fairness in the securities markets, and shares information about companies and investment professionals to help investors make informed decisions and invest with confidence."

SIFMA is a trade association for securities firms. The site includes a list of members with links to their home pages, articles, and issue briefs.