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A coalition of private and public sector institutions that undertakes initiatives to raise public awareness about what is needed to ensure long-term personal financial independence. |
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www.asec.org |
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Established in September 1999, the DTCC is a holding company that oversees two principal subsidiaries The Depository Trust Company (DTC) and the National Securities Clearing Corporation (NSCC). These two firms provide the primary infrastructure for the clearance, settlement and custody of the vast majority of equity, corporate debt and municipal bond transactions in the U.S. |
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www.dtcc.com |
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Established in 1978, the EBRI is the only nonprofit, nonpartisan organization committed exclusively to data dissemination, policy research, and education on economic security and employee benefits. |
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www.ebri.org |
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The national association of the American investment company industry. Founded in 1940, its membership includes 7,923 mutual funds, 447 closed-end funds, and 10 sponsors of unit investment trusts. Its mutual fund members represent more than 73 million individual shareholders and manage more than $6.9 trillion. The Institute represents its members and their shareholders in matters of legislation, regulation, taxation, public information, economic and policy research, business operations, and statistics. |
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www.ici.org |
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National Association of Securities Dealers Automated Quotations System (Nasdaq) is owned and operated by the National Association of Securities Dealers. Nasdaq is a computerized system that provides brokers and dealers with price quotation for securities traded over the counter as well as for many New York Stock Exchange listed securities. |
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www.nasdaq.com |
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The largest securities industry self-regulatory organization in the United States. Through its subsidiaries, NASD Regulation, Inc., and The Nasdaq Stock Market, Inc., the NASD develops rules and regulations, conducts regulatory reviews of members' business activities, disciplines violators, and designs, operates, and regulates securities markets and services. |
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www.nasd.com |
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NSCC provides centralized clearance, settlement and information services to the financial services industry. It supports and provides connectivity to thousands of brokers, dealers, banks, mutual funds, insurance carriers and other financial intermediaries. |
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www.nscc.com |
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The New York Stock Exchange is the oldest (1792) and largest stock exchange in the United States. The NYSE is an unincorporated association governed by a board of directors, headed by a full-time paid chairman and comprised of 20 individuals representing the public and the exchange membership in about equal proportion. More than 1600 companies are listed on the NYSE. |
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www.nyse.com |
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The Pension Benefit Guaranty Corporation (PBGC) protects the retirement incomes of about 43 million American workers one of every three working persons in nearly 40,000 defined benefit pension plans. PBGC is a federal government corporation established by Title IV of the Employee Retirement Income Security Act (ERISA) in 1974 to encourage the growth of defined benefit plans, provide timely and uninterrupted payment of benefits, and maintain pension insurance premiums at the lowest level necessary to carry out the Corporation's obligations. |
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http://www.pbgc.gov/ |
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The Securities Industry Association brings together the shared interests of more than 740 securities firms to accomplish common goals. SIA member firms (including investment banks, broker-dealers, and mutual fund companies) are active in all U.S. and foreign markets and in all phases of corporate and public finance. |
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www.sia.com |
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The Securities and Exchange Commission is a federal agency created by the Securities Exchange Act of 1934 to administer that legislation and the Securities Act of 1933, formally carried out by the Federal Trade Commission. The SEC is made up of five commissioners, appointed by the President of the United States on rotating basis for five-year terms. The statutes administered by the SEC are designed to promote full public disclosure and protect the investing public against malpractice in the securities markets. |
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www.sec.gov |
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EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC). |
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http://www.sec.gov/edgarhp.htm |
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