FAQs
The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.
Who manages an investment fund? ›
A fund manager is responsible for implementing a fund's investment strategy and managing its trading activities. They oversee mutual funds or pensions, manage analysts, conduct research, and make important investment decisions.
Who oversees investor relations? ›
In some companies, investor relations is managed by the public relations or corporate communications departments, and can also be referred to as "financial public relations" or "financial communications." In smaller companies, the IR function is often outsourced to independent investor relations firms.
Who regulates investment managers in the US? ›
The SEC regulates investment advisers who manage $110 million or more in client assets, while state securities regulators have jurisdiction over advisers who manage up to $100 million.
Who oversees investors? ›
The California Department of Corporations regulates firms and individuals in the securities and investment industries, including stockbrokers, investment advisers, and financial planners.
Who regulates the financial industry? ›
There are numerous agencies assigned to regulate and oversee financial institutions and financial markets in the United States, including the Federal Reserve Board (FRB), the Federal Deposit Insurance Corp. (FDIC), and the Securities and Exchange Commission (SEC).
Who controls an investment fund? ›
The SEC is the federal agency responsible for overseeing the securities industry, including the registration and regulation of investment companies, investment advisers and broker-dealers. Securities offerings are registered with the SEC unless an exemption from registration is available.
Who runs an investment fund? ›
Typically there is: A fund manager or investment manager who manages the investment decisions. A fund administrator who manages the trading, reconciliations, valuation and unit pricing.
How are investment funds managed? ›
Investment managers are responsible for choosing what to invest in, monitoring the performance of the fund, and making changes to the portfolio as and when needed. This helps to ensure that the fund is well-positioned to meet its investment objectives and generate returns for investors.
Who is the officer who usually oversees the investing process? ›
Chief Financial Officer (CFO) is the corporate title the highest-ranking financial executive in a company typically holds. They're responsible for overseeing their company's entire financial operations and strategy.
The Financial Industry Regulatory Authority (FINRA) is a non-governmental organization responsible for writing and enforcing rules governing registered broker-dealers and brokerage firms in the United States.
What Government agency is responsible for protecting investors? ›
The Securities and Exchange Commission (SEC) is a U.S. government oversight agency responsible for regulating the securities markets and protecting investors.
What federal agency regulates the investment industry? ›
The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it's starting a family, sending kids to college, saving for retirement or attaining other financial goals.
What group oversees the banking and investment industry? ›
The Office of the Comptroller of the Currency (OCC) is an independent bureau of the U.S. Department of the Treasury. The OCC charters, regulates, and supervises all national banks, federal savings associations, and federal branches and agencies of foreign banks.
How are fund managers regulated? ›
The asset management industry is largely governed by two bodies—the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Although they are separate, there is an overlap between these and other agencies.
Who is the major regulator of investment companies? ›
The SEC is the federal agency responsible for overseeing the securities industry, including the registration and regulation of investment companies, investment advisers and broker-dealers.
What is the difference between FINRA and SEC? ›
FINRA primarily regulates brokerage firms and professionals, while the SEC has a broader mandate, overseeing the entire securities industry, including public companies and investment advisors.
Who does FINRA regulate? ›
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers and Funding Portals. A Broker-Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.
What is the difference between the FDIC and the OCC? ›
The FDIC is the primary federal regulator for state-chartered banks that are not members of the Federal Reserve System. The Office of the Comptroller of the Currency (OCC) is the primary federal regulator for all national banks.
