Finance Careers Sources and Further Reading, Part 1 of 2: where the research comes from

About this page

Every claim in Finance Careers traces back to a primary source: regulators, central banks, standard-setters and the statutes themselves. This page collects those references, grouped by topic, so you can check any figure or rule at its origin.

If you are studying, writing or building a model, start here. The links point to government and standard-setter pages that change rarely, so they stay useful for years. Each entry says what the source supports, so you can go straight to the one you need.

A sample of the sources (118 entries on the full page)

FINRA: Securities Industry Essentials (SIE) Exam — SIE needs no firm association; qualification exams do (0.1)

Federal Reserve: Designated Financial Market Utilities — Eight designated FMUs; DTC as CSD, NSCC as CCP (0.1)

SEBI: About SEBI — Statutory status under SEBI Act, 1992 (India Lens)

18 U.S.C. §1350 (Sarbanes-Oxley Section 906) — Criminal certification and penalties: $1M/10 years knowing, $5M/20 years willful (A.1)

Companies Act, 2013 — Section 203: whole-time KMP including CFO, board resolution, six-month vacancy (India Lens)

NYSED Office of the Professions, Certified Public Accountants — CPA licensing by a US state (A.4)

RBI, Risk Based Internal Audit Framework (Jan 7, 2021) — HIA reports to ACB/MD & CEO/WTD; quarterly ACB meeting (B.2)

17 CFR 275.206(4)-7, compliance procedures — Every registered adviser designates a CCO (B.3)

17 CFR 270.22c-1, Pricing of redeemable securities — Fund NAV computed at least once daily at a board-set time (B.7)

CSBS, model Money Transmission Modernization Act text — Sections 10.01 tangible net worth formula and 10.03 permissible investments (B.8)

Companies Act, 2013, Section 203 with Rule 8 (CAIRR text) — Whole-time KMP; listed and public companies with paid-up capital of ₹10 crore or more (India Lens)

SEC, Form 8-K and instructions — Item 2.02 results furnished, not filed (C.4)

IMA, CMA certification — CMA awarded by IMA (C.1, C.3)

S&P Global Market Intelligence, issuer solutions — BD Corporate IR CRM (C.4)

IRS, Instructions for Form 8975 — CbCR threshold $850 million (C.6)

RBI, Role of the CRO (RBI/2016-17/294, Apr 27, 2017) — CRO line to MD & CEO / RMC; no dual hatting incl. CFO (C.7)

FASB, ASU 2016-09 (Compensation, Stock Compensation) — Grant-date fair value over requisite service period; forfeiture policy election (C.10)

FASB, ASU 2020-11 (LDTI effective dates) — ASU 2018-12 effective for SEC filers excluding SRCs from fiscal years beginning after Dec 15, 2022 (C.11)

IFoA, Route to becoming an actuary — Associate, Fellow, Certified Actuarial Analyst (C.11)

17 CFR 270.2a-5 — Valuation designee duties; prompt reporting within five business days (C.13)

Allvue Systems — Alternative-investment accounting software (C.12)

17 CFR 275.206(4)-7, Compliance procedures and practices — C.14 written policies, annual review, designated CCO

Federal Reserve, stress test and stress capital buffer final rule (Sep 30, 2026) — C.15 stress capital buffer averaging from 2028

SEBI (Mutual Funds) Regulations, 2026 — Part C India Lens: AMC CEO and CCO accountable for front-running deterrence

Good to know

Why primary sources matter: a summary, including this one, can lag the rule or dataset it describes. A regulator’s rule text, a central bank’s data release or a standard-setter’s publication is the authoritative record, and it shows the exact definition, date and scope behind a number. When two summaries disagree, the primary source settles it.

How the page is organized: entries are grouped by topic, and each one says what the source supports, so you can go straight to the document you need instead of searching a long publication for the right page. Where a source updates on a schedule, the Figures That Change register in the same volume says when it will next be reviewed.

About FinoLib: it is my free finance education library. It runs to five volumes, from the whole-economy view in Volume I to household-level detail in Volume V, and every article is written to be read on its own, with worked numbers and primary sources behind the facts.