Investment Banking-- Associations and Industry-Related Organizations
Turn to industry-related associations, regulatory, and governmental organizations to:
- Track key events (e.g. economic, regulatory, legislative,
etc.) that are impacting the industry
- Locate new regulations and other technical documents
- Identify members
- Learn about industry-required qualification and certification
programs
- Locate industry statistics and research reports
- Identify career profiles and job opportunities
Investment Company Institute (ICI)
- National organization representing U.S. investment companies,
including mutual funds, closed-end funds, and unit investment
funds
- Primary source for statistical data on the mutual fund industry
- Sites contains a wealth of industry data
National Association of Securities Dealers (NASD)
- Largest U.S. securities industry self-regulating body; represents
stock brokerage firms dealing in over-the-counter and other markets.
Aims to standardize practices, establish and enforce high standards
in securities trading, and consult with the government and investors
on matters of common interest
- Includes information about certification qualifications and exams
New York Stock Exchange (NYSE)
- Not-for-profit corporation that oversees a self-regulated marketplace for the trading of financial instruments. Releases monthly statistics on trading volume and member income statements
Securities Industry Association (SIA)
- The major lobbying organization for the U.S. securities firms
- Marketshare – free newsletter reporting industry news
- Career Resource Center
- Information about the licenses that are required for different
levels of dealers
- Job Descriptions – select a job and level to view a brief description of the expected roles and responsibilities
- Information about the licenses that are required for different
levels of dealers
Securities and Exchange Commission
(SEC)
- Federal agency created in 1934 to protect the investing public
against malpractice in the securities industry. Supervises all
national securities exchanges, broker-dealers, and investment
advisors
- Contains text of all SEC releases and new securities legislation
- Offers programs leading to the Chartered Financial Analyst (CFA)
designation which is increasingly important in becoming established
as an equities analyst
- Promotes research for the practicing investment banking industry
- An advocate for the bond market; excellent research on trends
in fixed income
- Site contains a large range of historical and current bond
market statistics and research articles
New York Society of Security Analysts
- Site contains good career information, including tips for successful
interviews
- Self-regulatory organization that works in conjunction with the U.S. government oversight to legislate the futures trading industry
U.S. Commodity Futures Trading Commission
- Oversees and regulates the commodity futures industry
Municipal Securities Rulemaking Board
- Makes the rules regulating dealers who deal in municipal bonds, municipal notes, and other municipal securities
The Forum of European Securities Commissions
- Acts as an advisory group to assist the European Commission
develop a legislative framework for the regulation of Europe’s
securities markets
Federation of European Securities Exchanges
- Represents the collective industry of Federated European Securities Exchanges (FESE)
Federation of European Securities Exchanges
- Represents the collective industry of Federeated European Securities Exchanges (FESE)
