Securities offering, trading, market integrity, investment adviser, and fund management regulations for broker-dealers, exchanges, and asset managers. AuditDSS decomposes 98 regulations into 70,161 individually testable obligations across 7 jurisdictions with 4-axis risk scoring.
The SEC, CFTC, and DOJ are pursuing fraud, manipulation, and disclosure failures with penalties that dwarf annual revenues. One enforcement action can erase a firm.
$27.1B
SEC total enforcement penalties
Stanford Financial $7.2B, Goldman Sachs 1MDB $2.9B, Deutsche Bank LIBOR $2.5B — multi-billion dollar penalties are now routine
$4.5B
Terraform Labs / Do Kwon settlement
A single SEC enforcement action against unregistered securities offering — the largest individual case penalty in recent history
$2.3B
CFTC enforcement actions
BofA/Merrill Lynch $1.25B, JPMorgan $920M — derivatives manipulation and spoofing trigger parallel criminal referrals
98
Regulations covered
6,589
Rules decomposed
70,161
Obligations scored
7
Jurisdictions
7 jurisdictions, 98 regulations
From SEC registration and reporting requirements to FINRA broker-dealer conduct rules, from Reg NMS market structure to Dodd-Frank derivatives reform — AuditDSS decomposes every regulation into independently testable obligations.
Score your FINRA obligations, Reg NMS compliance, and market surveillance controls in a single assessment. Identify the gaps before your next FINRA cycle exam or SEC sweep.
SEC Advisers Act compliance, custody rule requirements, and Reg BI suitability obligations scored at the requirement level. Know exactly which fiduciary duty you're falling short on.
SEC reporting requirements, SOX internal controls, and Reg FD fair disclosure obligations. The SEC's Division of Enforcement reviews every 10-K — don't let a disclosure gap become a Wells Notice.
All 98 regulations applicable to securities & capital markets, grouped by theme. Every regulation links to its detailed obligation breakdown.
Australian Prudential Regulation Authority
Australian Prudential Regulation Authority
Australian Securities and Investments Commission
Commodity Futures Trading Commission
European Parliament and Council
European Parliament and Council
Agency for the Cooperation of Energy Regulators
Securities and Exchange Commission
Securities and Exchange Commission
Financial Conduct Authority
Financial Conduct Authority
Securities and Exchange Commission
Securities and Exchange Commission
Securities and Exchange Commission
Securities and Exchange Commission
Securities and Exchange Commission
Australian Transaction Reports and Analysis Centre
Australian Transaction Reports and Analysis Centre
Financial Crimes Enforcement Network
European Parliament and Council
Financial Action Task Force
Financial Crimes Enforcement Network
Office of Foreign Assets Control
Cyber and Infrastructure Security Centre
Joint Committee of European Supervisory Authorities (EBA/ESMA/EIOPA)
Federal Trade Commission
Center for Internet Security
European Union Agency for Cybersecurity
National Institute of Standards and Technology
National Institute of Standards and Technology
New York Department of Financial Services
PCI Security Standards Council
Saudi Arabian Monetary Authority
General Services Administration
American Institute of Certified Public Accountants
Office of the Australian Information Commissioner
California Attorney General / California Privacy Protection Agency
European Data Protection Board
Consumer Financial Protection Bureau
Consumer Financial Protection Bureau
Saudi Data and AI Authority
Information Commissioner's Office
Department of Labor - Employee Benefits Security Administration
European Parliament and Council
US Department of Justice — FCPA Unit
Agence Française Anticorruption
Information Systems Audit and Control Association
Committee of Sponsoring Organizations of the Treadway Commission
Capital Market Authority of Saudi Arabia
Securities and Exchange Commission
Serious Fraud Office
Australian Securities and Investments Commission
European Parliament and Council
European Parliament and Council
European Parliament and Council
Accountability Framework initiative
Partnership for Carbon Accounting Financials
Science Based Targets initiative
Taskforce on Nature-related Financial Disclosures
International Sustainability Standards Board
International Sustainability Standards Board
Capital Market Authority of Saudi Arabia
Securities and Exchange Commission
Financial Conduct Authority
Financial Conduct Authority
Fair Work Commission
Australian Border Force
Ministry of Human Resources and Social Development
Equality and Human Rights Commission
Advisory, Conciliation and Arbitration Service
Independent Anti-Slavery Commissioner
U.S. Department of Labor — Wage and Hour Division
U.S. Department of Labor — Wage and Hour Division
Equal Employment Opportunity Commission
Capital Market Authority of Saudi Arabia
Capital Market Authority of Saudi Arabia
National Cybersecurity Authority
National Cybersecurity Authority
National Cybersecurity Authority
National Cybersecurity Authority
Saudi Arabian Monetary Authority
Saudi Arabian Monetary Authority
Zakat, Tax and Customs Authority
American Institute of Certified Public Accountants
Center for Internet Security
Information Systems Audit and Control Association
Committee of Sponsoring Organizations of the Treadway Commission
Cloud Security Alliance
International Auditing and Assurance Standards Board
International Auditing and Assurance Standards Board
American Institute of Certified Public Accountants
HITRUST Alliance
American Institute of Certified Public Accountants
Safe Work Australia
European Parliament and Council
Occupational Safety and Health Administration
Occupational Safety and Health Administration
Health and Safety Executive
Answer a few questions about your business. Get a complete compliance program — policies, procedures, and operational forms — tailored to your risk profile and mapped to every obligation. Ready in minutes.
Securities & Capital Markets Compliance Policy
Risk-calibrated · 10–15 sections
Operational Procedures
Step-by-step · Staff-ready
Forms & Checklists
Operational forms · Ready to use
Score your existing policies against 70,161 obligations — or generate a complete compliance program tailored to your business in minutes.