PAGE UNDER CONSTRUCTION! ThinkerStreet was formed in January 2023 and has developed several applications. Please inquire for more information if you would like to access our software applications. We are in the process of redesigning our approach and goals. More information will be available in the coming days.

–Jacob Shapiro, Founder of ThinkerStreet LLC and Jacob Shapiro, Attorney at Law, PLLC

inquiries@thinkerstreet.com – Insights for over 99% of the global market system, covering 177 exchanges, with analytics growing by the day!

We have four industry-grade datasets from London Stock Exchange Group. What you do with it is limitless. And let us make each dataset your way.

GLOBAL FILINGS: Extensive filings from the most extensive company database in the world. We have all types of filings (whether it is annual reports, ownership reports, or the like) from feeds across the globe (Africa, China, Hong Kong, Taiwan, Europe, Brittain, United States, Mexico, Brazil, Argentina, more!). Instantly, at your fingertips, in HTML, PDF, TEXT, or whatever else you can dream of.

TRANSCRIPTS AND BRIEFS: You may have only a small fraction of the briefs available (and likely mainly in the U.S.), but here we have the most extensive brief database available. You can do whatever you can dream of with it.

ESG/METRICS: We have thorough metrics on the vast majority of the world’s market cap (public and private). Coupled with the filings data, and you have pretty much everything.

GLOBAL COMPANY INTELLIGENCE AND FINANCIALS: Again, we have one of the most expansive databases of company financial and intelligence metrics, including geographic and business segments, as well as officers and directors, and so much more.

ALL OF THIS IS YOUR’S. PLEASE INQUIRE DIRECTLY WITH ME, JACOB SHAPIRO, AT:

inquiries@thinkerstreet.com.

ThinkerStreet’s FinReg Pocket Guide: (simple Yet Helpful!)
Financial Regulations Guide
Equity
Stocks
Regulators: SEC, SROs (FINRA, Stock Exchanges)
Laws: Securities Act of 1933, Securities Exchange Act of 1934, State “Blue Sky” Laws
REITs (Real Estate Investment Trusts)
Regulator: SEC, IRS, SROs (FINRA, Stock Exchanges)
Laws: Securities Act of 1933, Internal Revenue Code
Fixed Income
Bonds
Corporate Bonds: SEC
Municipal Bonds: SEC, MSRB
Commercial Paper: Regulated by SEC under certain circumstances
Laws: Securities Act of 1933, Trust Indenture Act of 1939, MSRB Rules, Securities Exchange Act of 1934
Certificates of Deposit (CDs)
Cash Equivalents
Money Market Funds
Derivatives
Futures Contracts
Regulator: CFTC
Laws: Commodity Exchange Act
Options Contracts
Regulator: CFTC (commodity options), SEC (equity options)
Laws: Commodity Exchange Act, Securities Exchange Act of 1934
Swaps
Regulator: CFTC, SEC (depending on structure)
Laws: Commodity Exchange Act, Securities Exchange Act of 1934, Dodd-Frank Act
Forwards
Regulator: CFTC (certain types)
Laws: Commodity Exchange Act, potentially other relevant laws
Structured Products
Notes, Certificates, Exchange-Traded Notes (ETNs), Principal-Protected Notes
Regulator: SEC, potentially CFTC (depending on structure)
Laws: Securities Act of 1933, Commodity Exchange Act, other relevant securities laws
Alternative Investments
Hedge Funds, Private Equity, Venture Capital
Real Estate
Direct Ownership
Private Real Estate Funds and REITs
Regulator: SEC, FINRA (for REITs), state real estate commissions
Laws: Applicable securities laws, state real estate laws
Commodities
Physical Commodities (e.g., gold, oil)
Regulator: CFTC
Laws: Commodity Exchange Act
Commodity-Focused Funds and ETFs
Regulator: SEC, CFTC (depending on structure)
Laws: Commodity Exchange Act, and, where applicable, securities laws
Infrastructure and Other Real Assets
Includes: Infrastructure, Timberland, Agriculture
Regulator: Depends on the investment vehicle’s structure; direct investments might not have a specific federal regulator but are subject to environmental and land use regulations at the federal, state, and local levels. Infrastructure investments can be regulated by various bodies depending on the sector (e.g., Federal Energy Regulatory Commission for energy infrastructure).
Laws: Environmental laws, land use regulations, and other sector-specific regulations for infrastructure (e.g., energy, transportation).
Private Debt
Includes: Loans, mezzanine financing, distressed debt
Regulator: SEC (if traded or if the fund offering the debt is registered), state regulators
Laws: Securities Act of 1933, Securities Exchange Act of 1934 (for traded debt), state securities laws
Secondaries
Includes: Investments in existing private equity or hedge fund stakes
Regulator: SEC
Laws: Securities Act of 1933, as transactions involve securities; specific regulations may depend on the nature of the underlying assets.
Other Instruments
Mutual Funds and ETFs:
Mutual Funds
Regulator: SEC
Laws: Investment Company Act of 1940
Exchange-Traded Funds (ETFs)
Regulator: SEC
Laws: Investment Company Act of 1940, Securities Exchange Act of 1934, Rule 6c-11 of the Investment Company Act of 1940
Insurance Products
Regulator: State Insurance Departments
Laws: State Insurance Regulations
Foreign Exchange (Forex)
Regulator: CFTC, NFA, and to lesser extent, SEC. Treasury Department and Federal Reserve play role in monetary policy
Laws: Commodity Exchange Act
Crowdfunding Investments
Regulator: SEC
Laws: JOBS Act Title III
Digital Assets and Emerging Technologies
Digital Assets and Cryptocurrencies
Regulator: SEC (securities-related aspects), CFTC (commodities-related aspects), FinCEN (for anti-money laundering), IRS, FTC
Laws: Securities Act of 1933, Commodity Exchange Act, Bank Secrecy Act (for AML/CFT compliance), Investment Advisors Act of 1940
Peer-to-Peer Lending
Regulator: SEC, FTC
Laws: Securities Act of 1933, Dodd-Frank Wall Street Reform and Consumer Protection Act
Robo-Advisors
Regulator: SEC
Laws: Investment Advisers Act of 1940
Additional Considerations
Sarbanes-Oxley Act: Enhances corporate governance and financial reporting, impacting all publicly traded companies in the U.S.
Dodd-Frank Wall Street Reform and Consumer Protection Act: Introduced regulations impacting various aspects of financial markets, including derivatives, hedge funds, and consumer protection.
Consumer Protection Laws: Various regulations like the Truth in Lending Act (TILA) and the Fair Credit Reporting Act (FCRA) protect consumers in specific financial products.
Global Regulation, Sustainability, and Governance
Overview of International Regulatory Organizations

International Organization of Securities Commissions (IOSCO):

Facilitates global cooperation and information sharing among securities regulators, affecting American corporations through its declarations and norms.

Financial Stability Board (FSB):

Crafts and promotes international financial regulatory principles, impacting American policies on capital sufficiency and systemic risk oversight.

Basel Committee on Banking Supervision (BCBS):

Establishes worldwide banking standards including capital sufficiency, stress evaluations, and liquidity risk in markets. Its Basel III protocol significantly influences American banks and financial entities.

Navigating Cross-Border Regulatory Compliance
General Data Protection Regulation (GDPR):

Impacts American businesses processing data of EU citizens, enforcing data protection norms and potentially imposing data transfer limitations.

Financial Action Task Force (FATF):

Dictates international standards for anti-money laundering and terrorist finance combatting. Its regulations for virtual asset service providers affect American entities in the digital currency arena.

Markets in Financial Instruments Directive (MiFID II):

Governs investment entities and markets within the EU, affecting American firms providing services or products within the EU.

Exploring Additional International Frameworks
Involvement with regional and global frameworks such as the Council for Financial Stability of the Americas (FSAI) and the International Association of Insurance Supervisors (IAIS) also impacts American financial entities globally.
In-depth Examination of Sustainability and Governance (ESG) Investments and Frameworks
Principal ESG Reporting and Disclosure Protocols include International Integrated Reporting Council (IIRC), Global Reporting Initiative (GRI), Task Force on Climate-Related Financial Disclosures (TCFD), Sustainability Accounting Standards Board (SASB), and UN Sustainable Development Goals (SDGs).

Trends in Regulatory Requirements for ESG Disclosures are evolving globally, with the EU leading in establishing thorough ESG reporting norms.

Global and Regional ESG Initiatives like UN Global Compact, Carbon Disclosure Project (CDP), and Principles for Responsible Investment (PRI) promote sustainability and transparency.

ESG Performance Benchmarking and Evaluation through Dow Jones Sustainability Indices (DJSI), and ESG Ratings by agencies like LSEG, MSCI, and Sustainalytics, and emerging technology platforms like THINKERSTREET LLC.

Innovative Strategies and Approaches for ESG Investments, including impactful investing and thematic ESG investments focusing on areas like renewable energy and social welfare.

Diverse ESG Standards and Considerations are present across sectors and regions, contributing to a varied landscape of ESG standards.
Additional Financial Landscape Considerations
Impact of Financial Technology and Cybersecurity: The rise of fintech innovations reshapes traditional financial markets, emphasizing the importance of cybersecurity.

Integration of International Financial Instruments like Eurobonds and ETFs highlights the significance of understanding global financial regulatory considerations.

Evolving Digital Asset Regulations necessitate clear regulatory frameworks for digital assets, including cryptocurrencies and NFTs.