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  Additional Information Links
STANDARDS RELATED  |   TRADE GROUPS  |   REGULATORY  |   INDUSTRY UTILITIES 


   Standards Related

Accredited Standards Committee X9, Inc.
A financial industry non-profit association developing and managing consensus-based technical standards certified by the American National Standards Institute (ANSI).
ANNA Service Bureau
Central hub to receive, consolidate and disseminate ISIN data from the 61 ANNA members
Association of National Numbering Agencies (ANNA)
Maintenance agency and registration authority for the International Securities Identification Number (ISIN) and the Classification of Financial Instruments (CFI) standards
Extensible Business Reporting Language (XBRL)
XBRL is a content standard for electronic communication of business and financial data
Financial Information Exchange (FIX)
Messaging specification for electronic communication of trade-related messages
International Accounting Standards Board (IASB)
The IASB is an independent standards body focused on developing a single set of global accounting standards that require transparent and comparable information in general purpose financial statements.
International Organization for Standardization (ISO)
ISO is a network of the national standards institutes of 157 countries
ISO Technical Committee 68, Sub-Committee 4 (TC68/SC4)
ISO TC68/SC4 covers standards for the securities industry
Market Data Definition Language (MDDL)
An XML specification to enable the interchange of financial data
Organization for the Advancement of Structured Information Standards (OASIS)
Non-profit global consortium focused on the development, convergence and adoption of e-business standards
SWIFT
Industry-owned co-operative supplying secure, standardized messaging services and interface software
United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT)
UN body encouraging interoperability for the exchange of data



   Trading Groups

European Central Securities Depositories Association (ECSDA)
Group of 39 CSDs in Europe
Group of 30 (G-30)
Nonprofit organization focusing on the policy implications of international economic and financial issues. Summary of G-30 Global Clearing and Settlement Plan of Action
Information Systems Security Association (ISSA)
Non-profit focused on issues related to information security
International Capital Markets Association (ICMA)
Self-regulatory organization and trade association representing the financial institutions active in the international capital markets worldwide
International Securities Association for Institutional Trade Commission (ISITC)
and ISITC Europe Trade group suppporting global securities operations and promoting straight through processing
National Institute of Finance
The Committee to Establish the National Institute of Finance
Reference Data User Group (RDUG)
RDUG is a forum of market practitioners focused on issues relating to STP
Securities Industry and Financial Markets Association (SIFMA)
Trade Group representing the Securities Industry and Global Financial Markets.
Securities Market Practice Group (SMPG)
Tactical initiative of SWIFT focused on enhancing the current securities industry practices
World Federation of Exchanges (WFE)
Trade organization for regulated securities and derivative markets, settlement institutions and related clearing houses



   Regulatory

Committee of European Securities Regulators (CESR)
CESR is an independent Committee of European Securities Regulators
Committee on Capital Markets Regulation
De Larosiere Report
(framework document for regulatory reform in the EU)
Financial Services Authority (FSA)
FSA is the regulator of financial services in the UK
International Convergence of Capital Measurement and
Capital Standards - A Revised Framework
(Basel II)
International Organization of Securities Commissions (IOSCO) Mechanism for cooperation and coordination among the securities commissions around the world
Issuing Committee Report to G-20
Markets in Financial Information Services Directive (MiFID)
NASD Order Audit Trail System (OATS) System used to recreate events in the life cycle of an
investor’s order for trade practices monitoring
NASD Trade Reporting and Compliance Engine (TRACE) Mandatory reporting of OTC secondary market transactions
Obama Administration Financial Reform Plan
Sarbanes-Oxley Act (SOX)
SEC Regulation NMS New rules designed to modernize and strengthen the regulatory structure of the US equity markets
The Giovannini Group Group of financial market participants advising the EU on financial market issues
Third Money Laundering Directive
UK Prospectus Regulation
UK Transparency Directive
US Securities & Exchange Commission (SEC) The goal of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Overview of laws governing US Securities Industry



   Industry Utilities

Re-engineering Project (DTCC) Information on DTCC’s underwriting and corporate actions re-engineering project
Depository Trust and Clearing Corporation (DTCC) Provides clearance, settlement and information services for equities, corporate and municipal bonds, government and mortgage-backed securities and over-the-counter credit derivatives.
OMGEO
Global joint venture of the Depository Trust & Clearing Corporation (DTCC) and Thomson Financial focused on post-trade and pre-settlement processes



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