United States federal securities markets

E57051

financial market securities market system

United States federal securities markets are the nationally regulated platforms and systems where securities such as stocks, bonds, and other financial instruments are issued, traded, and overseen under U.S. federal law.

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Observed surface forms (2)

Surface form	Occurrences
U.S. National Market System	1
United States securities market	1

Statements (71)

Predicate	Object
instanceOf	financial market ⓘ securities market system ⓘ
country	United States of America ⓘ surface form: United States
disclosureRequirement	periodic reporting by public companies ⓘ prospectus delivery ⓘ registration of public offerings ⓘ
enforcementMechanism	administrative proceedings ⓘ civil enforcement actions ⓘ criminal prosecution ⓘ
hasGoal	capital formation ⓘ investor protection ⓘ market integrity ⓘ systemic risk mitigation ⓘ
includesInstrumentType	U.S. Treasury securities ⓘ asset-backed securities ⓘ closed-end funds ⓘ corporate bonds ⓘ derivatives ⓘ equity securities ⓘ exchange-traded funds ⓘ futures ⓘ money market instruments ⓘ mortgage-backed securities ⓘ municipal securities ⓘ options ⓘ
includesMarketType	exchange-traded market ⓘ over-the-counter market ⓘ primary market ⓘ secondary market ⓘ
involvesParticipantType	broker-dealers ⓘ clearing agencies ⓘ exchanges ⓘ investment advisers ⓘ investment companies ⓘ investors ⓘ issuers ⓘ self-regulatory organizations ⓘ
legalFramework	Bank Holding Company Act of 1956 ⓘ Commodity Exchange Act ⓘ Dodd–Frank Wall Street Reform and Consumer Protection Act ⓘ Gramm-Leach-Bliley Act of 1999 ⓘ surface form: Gramm–Leach–Bliley Act Investment Advisers Act of 1940 ⓘ Investment Company Act of 1940 ⓘ Jumpstart Our Business Startups Act ⓘ Sarbanes–Oxley Act of 2002 ⓘ U.S. Securities Act of 1933 ⓘ surface form: Securities Act of 1933 U.S. Securities Exchange Act of 1934 ⓘ surface form: Securities Exchange Act of 1934
majorExchange	Cboe Global Markets ⓘ Chicago Board Options Exchange ⓘ Chicago Mercantile Exchange ⓘ Intercontinental Exchange ⓘ NASDAQ ⓘ surface form: Nasdaq Stock Market New York Stock Exchange ⓘ
regulatingAuthority	U.S. Commodity Futures Trading Commission ⓘ surface form: Commodity Futures Trading Commission Federal Deposit Insurance Corporation ⓘ Federal Reserve System ⓘ Financial Industry Regulatory Authority ⓘ Office of the Comptroller of the Currency ⓘ United States Department of the Treasury ⓘ surface form: U.S. Department of the Treasury Securities and Exchange Commission ⓘ surface form: U.S. Securities and Exchange Commission
selfRegulatoryOrganization	Financial Industry Regulatory Authority ⓘ Municipal Securities Rulemaking Board ⓘ
supervisedActivity	broker-dealer activity ⓘ clearing and settlement ⓘ investment advisory services ⓘ investment company operations ⓘ margin lending ⓘ securities issuance ⓘ securities trading ⓘ securities underwriting ⓘ short selling ⓘ

Referenced by (3)

Full triples — surface form annotated when it differs from this entity's canonical label.

US20030N1019 → assignedToMarket → United States federal securities markets ⓘ

this entity surface form: United States securities market

Regulation D → effectiveIn → United States federal securities markets ⓘ

NYSE National → memberOf → United States federal securities markets ⓘ

this entity surface form: U.S. National Market System