Foreign Regulators

Foreign Regulators

Investors sometimes contact us with questions and complaints about foreign companies and securities. In many cases, the SEC does not regulate these companies or securities, but a foreign regulator does. The University of Toledo College of Law has a website that includes links to many foreign regulators, including those that regulate their securities, banking, and insurance industries.

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.