Office of Financial Intermediaries
E39117
The Office of Financial Intermediaries is a specialized unit within the SEC’s Division of Economic and Risk Analysis that focuses on the risks, activities, and market impacts of financial intermediaries such as investment advisers, broker-dealers, and funds.
Statements (30)
| Predicate | Object |
|---|---|
| instanceOf |
office
ⓘ
specialized unit ⓘ |
| analyzes |
investor protection issues related to intermediaries
ⓘ
systemic risk channels involving intermediaries ⓘ |
| collaboratesWith |
other divisions and offices of the SEC
ⓘ
other offices within the Division of Economic and Risk Analysis ⓘ |
| country |
United States of America
ⓘ
surface form:
United States
|
| focusesOn |
activities of financial intermediaries
ⓘ
financial intermediaries ⓘ market impacts of financial intermediaries ⓘ risks of financial intermediaries ⓘ |
| hasRole |
analyze market structure issues involving intermediaries
ⓘ
conduct economic analysis ⓘ conduct risk analysis ⓘ support SEC policymaking ⓘ support SEC risk assessment ⓘ support SEC rulemaking ⓘ |
| jurisdiction | U.S. securities markets ⓘ |
| language | English ⓘ |
| parentAgency |
Securities and Exchange Commission
ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| parentOrganization | Division of Economic and Risk Analysis ⓘ |
| partOf |
Division of Economic and Risk Analysis
ⓘ
Securities and Exchange Commission ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| regulatoryContext | federal securities laws ⓘ |
| sector |
financial markets
ⓘ
securities regulation ⓘ |
| studiesEntityType |
broker-dealers
ⓘ
funds ⓘ investment advisers ⓘ investment companies ⓘ |
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.