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Securities Regulation

This Guide provides lists of suggested resources for researching various securities law topics.

Acronyms and Abbreviations

CCH – Commerce Clearing House


EDGAR – the SEC’s Electronic Data Gathering and Retrieval database.


FINRA – Financial Industry Regulatory Authority.  FINRA was formed by the merger of the regulatory function of the NYSE with the NASD.


NASD – National Association of Securities Dealers.


NYSE – New York Stock Exchange.


NYSE Amex – Formerly the American Stock Exchange (AMEX), which was acquired by NYSE Euronext. 


            SEC – Securities and Exchange Commission

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