Regulation & Enforcement Protecting investors and preserving capital market integrity

Regulation & Enforcement

Through our relationships with regulators, standard setters, and other policymakers we serve an important role as the voice of the investor to promote the integrity of capital markets. We serve on many committees that advise on regulations or create them, and our research focuses on our four primary areas of capital markets in an effort to serve the interests of investors and of society: investment products, corporate governance, financial markets, and derivatives.

Tools for Action

Elements of Effective Regulation: Attributes of an effective regulatory system that enables markets to react and evolve in ways that enhance investor interests.

Characteristics of Effective Self-Regulatory Organizations (SROs): The top qualities needed for SROs to restore investor confidence.

Recent Supporting Articles