LawVisory Directory of Financial Regulatory Authorities and Organizations
- Resources
- Directory
U.S. Federal Regulatory Authorities
Name | Summary | Who They Serve | Why It Matters | Website |
SEC – U.S. Securities and Exchange Commission | Regulates securities markets, enforces securities laws, oversees RIAs, public companies, and investment funds. | RIAs, public companies, crypto offerings, hedge/private funds, SPACs, broker-dealers | Central to securities law, Form ADV, Reg D, Form PF, Regulation A+, enforcement actions | |
FINRA – Financial Industry Regulatory Authority | Self-regulatory body overseeing broker-dealers and registered representatives. | Broker-dealers, compliance officers, trading firms | Handles Form U4/U5, CRD, arbitrations, examinations | |
CFTC – Commodity Futures Trading Commission | Oversees derivatives markets including futures, swaps, and crypto commodities. | Crypto platforms, fund managers, commodity traders | Relevant for DeFi, blockchain, and asset managers with futures exposure | |
FinCEN – Financial Crimes Enforcement Network | Oversees AML/CFT programs, monitors financial transactions for illicit activity. | RIAs, fintech, crypto exchanges, banks | Requires AML policies, suspicious activity reporting (SARs), CIP/KYC | |
Treasury Department | Sets fiscal policy, sanctions (OFAC), international finance rules. | Cross-border firms, fintech, crypto, investors | OFAC compliance, economic sanctions, Treasury rules impact global strategy | |
OCC – Office of the Comptroller of the Currency | Regulates national banks and federal savings institutions. | Banks and financial institutions | Affects fintech partnerships and chartered entities | |
FDIC – Federal Deposit Insurance Corporation | Insures bank deposits, oversees financial institution risk. | Banks, fintech partnerships | Key for neobank partnerships and SPAC-deal banking relationships | |
Federal Reserve (The Fed) | Central bank of the U.S., controls monetary policy, bank supervision. | Banks, fintechs, financial services | SPAC banking, M&A funding, interest rate impact | |
IRS – Internal Revenue Service | Tax enforcement agency; oversees tax treatment of crypto, capital gains. | All U.S. businesses and investors | Crypto tax guidance, fund structures, SPAC liquidation rules |
State-Level and Specialized U.S. Entities
Name | Summary | Who They Serve | Why It Matters | Website |
NASAA – North American Securities Administrators Association | Coordinates state securities regulators in the U.S., Canada, and Mexico. | RIAs, investment firms | Important for state-registered firms and IAR CE requirements | |
State Securities Commissions | Each U.S. state has its own regulator (e.g., California DFPI, Texas SSB). | RIAs, IARs | Form ADV Part 1 & 2 requirements, Blue Sky filings | [Various] |
Public Company Accounting Oversight Board (PCAOB) | Regulates audits of public companies and broker-dealers. | Auditors, public funds, IPO participants | SPAC audit oversight, investor protection |
Global and International Regulatory Bodies
Name | Summary | Who They Serve | Why It Matters | Website |
IOSCO – Int’l Organization of Securities Commissions | Global standards setter for securities regulation. | Regulators, large investment firms | Coordinates cross-border regulation and crypto policy trends | |
FATF – Financial Action Task Force | Sets AML/CFT global standards. | Crypto exchanges, banks, fintechs, VASPs | Crypto and AML rules, Travel Rule guidance | |
FCA – Financial Conduct Authority (UK) | UK’s financial regulatory authority. | UK crypto firms, UK-domiciled funds | MiCA alignment, crypto and SPAC rules, UK fund formation | |
ESMA – European Securities and Markets Authority | EU regulator promoting investor protection and market stability. | EU asset managers, EU SPACs, crypto | MiFID II, AIFMD, crypto asset service provider (CASP) licensing | |
BaFin – Federal Financial Supervisory Authority (Germany) | Germany’s financial regulator. | Crypto, fintech, DeFi, banks | Licensing for crypto custodians and DeFi structures | |
MAS – Monetary Authority of Singapore | Regulator and central bank in Singapore. | Crypto, hedge funds, fintechs | Global funds using Singapore as hub, VASP registration | |
HKMA + SFC (Hong Kong) | Monetary and securities regulators in Hong Kong. | Crypto exchanges, token issuers | Licensing, investor thresholds, and listing rules | |
CSA (Canada) | Umbrella body of Canadian provincial securities regulators. | Crypto firms, fintech, DeFi | Multilateral instruments, regulation of NFTs and DAOs |
Non-Governmental But Influential Bodies
Name | Summary | Who They Serve | Why It Matters | Website |
DTCC – Depository Trust & Clearing Corporation | Provides clearing and settlement services. | Broker-dealers, funds | SPAC closings, IPO settlements, capital market infrastructure | |
MSRB – Municipal Securities Rulemaking Board | Regulates municipal securities. | Bond funds, muni traders | Muni advisors, state and local gov compliance | |
SIFMA – Securities Industry and Financial Markets Association | Trade group for broker-dealers, banks, asset managers. | Broker-dealers, asset managers | Policy advocacy, industry trends |
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