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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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