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Financial and Securities Regulation Information

What comes to mind when you hear financial and securities regulation? A regulated institution or facility must carry out its activities according to the set rules and services. A central regulator, which could be a government or non-government facility, is placed in charge of certain regulations. 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. Industry players will be able to increase the number of products they deal with if there is proper regulation in the financial and securities industry. 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.

Who regulates financial and securities markets? The regulation of financial and securities industry falls under financial law. Different jurisdictions have varying financial regulators. Financial regulation authority can be government or non-government institutions. The United States financial and securities market is regulated by different authorities including the SEC, CFTC, among others. Different countries are regulated by varying industry regulators.

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. Other financial instruments include insurance products.

It is vital that you understand which laws are applicable in the financial market. All countries have set rules that govern financial affairs in the country. There are a number of laws that govern the securities market in the United States. One of the commonly applied laws in the USA is the Securities Act of 1933. One of the objectives of the Securities Act of 1933 is to ensure that clients have enough details on publicly traded financial securities. This act is also applied to avoid fraud and deceit in the securities market of the United States.

The securities in the United States 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. Debt securities are regulated by the Trust Indenture Act of 1939. It is good for you to find out which other laws are applied in the regulation of securities trade.

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