DOL Fiduciary Standard Resource Center



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Katrina Cavalli (212.313.1181), Liz Pierce (212.313.1173) or Carol Danko (202.962.7390).


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Industry Basics

How is the U.S. Financial Industry Regulated?

The financial regulatory system has federal, state, and private institutions. Generally, federal regulators deal with national issues and state regulators operate in their jurisdictions.

Industry Glossary

Know the terms.
Understand the industry.

Market Data