Financial Regulation

aid: financial-regulation
name: Financial Regulation
description: Financial regulation is the body of laws, rules, and supervisory frameworks governing financial markets, banks,
  broker-dealers, asset managers, payment providers, and crypto firms. Major regulators include the U.S. SEC, FINRA, CFTC,
  OCC, FRB, FDIC, FinCEN, CFPB; the UK FCA and PRA; the EU ESMA, EBA, and EIOPA; and global bodies like IOSCO and the Basel
  Committee. Core frameworks include MiFID II / MiFIR, Basel III, Dodd-Frank, Sarbanes-Oxley, EMIR, PSD2, GDPR, AML / KYC
  (FATF), and FATCA / CRS reporting.
type: Index
deliveryModel:
  model: unknown
  open_source: false
  commercial: false
  callable_host: false
  label: Delivery model not determined — needs a product licence on record
  confidence: low
  source:
  - none
  generated: '2026-08-28'
  method: derived
accessModel:
  pricing: unknown
  onboarding: unknown
  trial: false
  try_now: false
  public: false
  label: Unknown
  confidence: low
  source: []
  generated: '2026-07-22'
  method: derived
image: https://kinlane-images.s3.amazonaws.com/shared/apis-json/icons/financial-regulation.png
url: https://raw.githubusercontent.com/api-evangelist/financial-regulation/refs/heads/main/apis.yml
created: '2025-01-01'
modified: '2026-04-28'
specificationVersion: '0.23'
tags:
- Financial Regulation
- Compliance
- SEC
- FINRA
- CFTC
- FCA
- ESMA
- MiFID
- Basel
- Dodd-Frank
- Sarbanes-Oxley
- AML
- KYC
- FATCA
apis: []
common:
- type: Reference
  name: Wikipedia - Financial Regulation
  url: https://en.wikipedia.org/wiki/Financial_regulation
- type: Reference
  name: U.S. Securities and Exchange Commission (SEC)
  url: https://www.sec.gov/
- type: Reference
  name: Financial Industry Regulatory Authority (FINRA)
  url: https://www.finra.org/
- type: Reference
  name: Commodity Futures Trading Commission (CFTC)
  url: https://www.cftc.gov/
- type: Reference
  name: UK Financial Conduct Authority (FCA)
  url: https://www.fca.org.uk/
- type: Reference
  name: European Securities and Markets Authority (ESMA)
  url: https://www.esma.europa.eu/
- type: Reference
  name: Bank for International Settlements - Basel Committee
  url: https://www.bis.org/bcbs/
- type: Reference
  name: Financial Action Task Force (FATF)
  url: https://www.fatf-gafi.org/
- type: Reference
  name: International Organization of Securities Commissions (IOSCO)
  url: https://www.iosco.org/
maintainers:
- FN: Kin Lane
  email: kin@apievangelist.com