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Financial and Securities Regulation Information

What comes to mind when you hear financial and securities regulation? Regulation is made up of rules that must be followed, restrictions that must be adhered to, as well as guidelines to carry out certain things. There is usually a central facility that makes sure all the institutions that fall in a certain category follow the set guidelines. Regulations are necessary to bring order in certain operations.

The are various reasons why the financial and securities industry needs to be regulated. Regulation ensures that there is stability in global financial industries. It is good for you to know that the financial and securities industry will have honest and ethical systems if there are strict guidelines to follow. It is also possible to expand a certain financial market if there is proper regulation. Many people will not have doubts when taking part in financial and securities transactions if there is ideal regulation. Financial and securities markets must be regulated to ensure that consumers are not manipulated by the available systems.

It is good for you to understand who regulates financial and securities market? The regulation of financial and securities industry falls under financial law. Different jurisdictions have varying financial regulators. Financial regulations can be dependent or independent from government supervision. The United States financial and securities market is regulated by different authorities including the SEC, CFTC, among others. You will find different financial and securities regulators in different countries.

Which industry players come to mind when you think about the financial and securities industry? Securities include debt securities such as bonds and debentures, equity securities such as common stock, and derivatives such as futures, forwards, swaps and options. The financial market has a broad range of products.

As a financial industry player, you need to understand all the laws that govern the financial market. The laws vary from country to country. The United States financial and securities market is regulated by a number of financial laws. You should fully understand all the regulations of the Securities Act of 1933 in the United States. This act is used to make sure that all the stakeholders get all the information about securities that are on public sale. This act is also applied to avoid fraud and deceit in the securities market of the United States.

The securities market in the USA is also regulated by the Securities Exchange Act of 1934. This act gives the Securities Exchange Commission the mandate to govern various aspects of the securities market. The other law is the Trust Indenture Act of 1939 which regulates debt securities. Other laws applicable in the United States are the Investment Company Act of 1940, Jumpstart Our Business Startups Act of 2012, Sarbanes-Oxley Act of 2002, Investment Advisers Act of 1940, and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

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