About This Web Site

This Web site was originally developed at the University of Toledo College of Law.  It is now maintained independently by Prof. Emeritus Howard M. Friedman.  The site is designed to provide online access to financial regulatory agencies around the world and to relevant statutes and rules from all jurisdictions.

Find information on securities, futures, banking and insurance regulators and links to the statutes and rules they administer.   Links take you to the name, address, phone and Fax numbers, e-mail and Internet Web addresses of regulatory agencies in the United States, individual states, Canada and other nations, and, in most cases, to relevant statutes and rules.

Updating of Information

We update the Financial Regulators Gateway on a regular basis.  Currently, no information is older than May 2007, and most of it is significantly more recent.  Each jurisdiction now carries a "last updated" date.  Please send corrections or additions by e-mail.

About the Heuerman Fund

The Heuerman Fund for the study of Investment Law and Regulation was set up by Richard and Lois Heuerman to provide a permanent endowment for research and teaching at the University of Toledo in the area of investment regulation.  In addition to funding this Web site, the Fund sponsored speakers and conferences and expanded the law library's collection in related areas of study.  

Comparative Financial Regulation

While we list securities, banking and insurance regulators separately, there is a continuing trend toward unified financial regulators in a number of jurisdictions.  For a discussion of functional regulation vs. consolidated regulation of financial institutions and markets, these remarks by the Director of the SEC's Office of International Affairs are of interest.

last updated 2/15/2011