The Essentials of Regulations – Breaking Down the Basics

A Closer Look at Financial and Securities Regulations Since the stock market crash in 1929 that initiated the Great Depression, there has been intense scrutiny of the financial services industry, including regulations on securities exchanges. The regulations in question govern all transactions in which financial assets known as securities are exchanged. This can be difficult for a variety or reasons. First of all, what qualifies as a security varies from one jurisdiction to another. The jurisdiction changes as you go from federal to state and finally even to the local level. Most Americans have at least some involvement in the securities exchanges, particularly in the form of pension investments usually in mutual funds. For this reason, it should be noted that regulation of financial investments and securities is important for all of us. In the 2008 financial collapse, it has been noted that a lack of regulation and oversight contributed to the loss of billions by pension holders and homeowners across the country. When you are engaged in financial transactions involving securities, it is a good idea to be aware of these regulations, to ensure that your securities transactions are completely on the up and up. Securities regulations are implemented as a matter of federal law. It is the SEC or Securities Exchange Commission that is responsible for enforcing and implementing federal securities regulations. But other more specialized financial trading, like futures trading and derivative trading, are regulated by the Commodity Futures Trading Commission, or CFTC. All brokers, dealers, brokerage firms and professionals in the securities exchange industry are registered with the SEC.
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Some investors make the case that so much federal oversight is not necessary given the existence of organizations like FINRA and the NASD, that are the securities industry’s self regulating organizations. There are some business observers, like Georgetown Professor and CFTC nominee Chris Brummer, who see recent advances in disruptive technologies as being instrumental in the complication of regulating securities trading. Anyone who is interested in finding out more about financial and securities regulations, including information about Professor Chris Brummer, should take a moment to search the Internet for information concerning financial regulatory bodies.
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One of the best ways to learn more about financial and securities regulations is to read informative papers and articles about these topics, written by experts in the field like Professor Brummer. Financial and securities regulations at all levels, including the federal, state and self-regulating organizations, are designed to protect investors from incurring crippling financial losses. To learn more all you have to do is search the Internet for financial and securities regulation information.