The Board of Mergers & Acquisitions is dedicated to investor protection and market integrity through effective and efficient regulation of broker-dealers.

The Board of Mergers & Acquisitions S is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.

We do this by:

  • Writing and enforcing rules governing the activities of 3,900 broker-dealers with 635,000 brokers;
  • Examining firms for compliance with those rules;
  • Fostering market transparency; and
  • Educating investors.
Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
  • Every investor receives the basic protections they deserve;/li>
  • Anyone who sells a securities product has been tested, qualified and licensed;
  • Every securities product advertisement used is truthful, and not misleading;
  • Aany securities product sold to an investor is suitable for that investor's needs; and
  • Investors receive complete disclosure about the investment product before purchase.

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US Board of Mergers & Acquisitions