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I wonder whether there are or we can collect cheat-sheets for the various international regulations of the financial markets.

There is e.g. the Dodd-Frank act for the US. Can we gather cheat sheets for all the other international regulations such as: Basel II/III (with the directives), Solvency II, EMIR, and all those out there?

Being a (quantitative) risk manager it is hard for me to follow all of them and soemtimes speaking with customers it looks good to know the basic facts about these regulations - apart from the advantage of knowing them for oneself.

Maybe we can gather blog series as well. Then it is easier to stay up-to-date and collect the entries in appropriate software and make it searchable and so on. An example in the Basel world is this blog.

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  • $\begingroup$ Not trying to be negative here, but I'm afraid the topic is too broad. For instance, Dodd-Frank itself is a vast area with a ton of discrete SRs from FRB and OCC, which target various areas. Then you have FINRA, SEC, PCAOB etc. It's a beast. In the banks we have special departments (compliance and legal) whose sole purpose is to track what's relevant to a given institution $\endgroup$
    – Aksakal almost surely binary
    Commented Apr 30, 2017 at 14:28
  • $\begingroup$ @Aksakal your are right of course. There would be a lot of material to collect. I wonder how far we would get. This is just a try. And I know that this subject is always evolving, but are there good books or lecture notes out there? $\endgroup$
    – Richi Wa
    Commented May 2, 2017 at 6:07
  • $\begingroup$ @Aksakal please see my edit about gathering blogs. Then we could stay up-to-date. $\endgroup$
    – Richi Wa
    Commented May 2, 2017 at 6:49
  • $\begingroup$ I added a link to an EMIR summary: it really looks complete and understandable. $\endgroup$
    – Richi Wa
    Commented May 9, 2017 at 14:13

1 Answer 1

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Here's a few. The categories are not mutually exclusive (e.g. since most investment advisors are obviously affected by tax and short-selling).

Investment advisors

  • Investment Advisers Act of 1940
  • Investment Company Act of 1940
  • SIPA of 1970
  • ERISA of 1974
  • JOBS Act of 2012

Europe

  • Criminal Justice Act 1993
  • Financial Services Act 1986
  • Financial Services Act 2012
  • FSMA 2000
  • AIFMD
  • EMIR
  • MiFID I/II
  • Solvency I/II
  • ESMA MAD I/II and MAR

Commodities

  • Commodities Exchange Act of 1936
  • CFMA of 2000

AML

  • BSA of 1970
  • FCPA of 1977
  • PATRIOT Act of 2001

Taxation

  • FIRPTA of 1980
  • Taxpayer Relief Act 1997
  • Sarbanes-Oxley Act of 2002

Broker-dealers and securities exchanges

  • Securities Exchange Act of 1934
  • Basel I/II/III
  • Dodd-Frank
  • FRB Reg D Reserve requirements
  • FRB Reg M Short selling rules
  • FRB Reg S Reimbursement for providing financial records
  • FRB Reg SHO Short selling practices
  • FRB Reg T Margin requirements
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    $\begingroup$ Thanks for the list and I realize that I ask too much but do you have links to summaries of these regulations too? Then it would be a great collection. Thanks! $\endgroup$
    – Richi Wa
    Commented Nov 3, 2015 at 17:28
  • $\begingroup$ Why don't we make this answer a community wiki and this can be the place where the cheat sheets are collected and built $\endgroup$
    – Matthew Lock
    Commented Nov 4, 2015 at 3:27
  • $\begingroup$ @MatthewLock I would agree, I just don't know how this can be done. $\endgroup$
    – Richi Wa
    Commented Nov 4, 2015 at 7:50
  • $\begingroup$ @vonjd do you have any idea how we can improve this question and answer? does it makes sense to make it part of a community wiki? $\endgroup$
    – Richi Wa
    Commented Apr 26, 2017 at 10:48
  • $\begingroup$ @madilyn do you think you find time to add links to most important regulatons? $\endgroup$
    – Richi Wa
    Commented Apr 26, 2017 at 10:48

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