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Internet Services / May 4, 2017 /

A General Overview of Financial and Securities Regulations

After the stock market crash that occurred in 1929, the government has paid close attention to the financial services industry, particular the securities exchange markets. Securities regulations cover all transactions that involve the exchange of financial assets known as securities. The regulation of securities can be difficult for all kinds of 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. This means that regulation of the financial services industry and the securities exchange markets is actually 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. If your retirement plan is heavily invested in securities, it is important to ensure that you gain some understanding of the securities regulations that are there to protect your portfolio from losses.

Regulation of financial services and securities falls under the auspices of federal law. It is the SEC or Securities Exchange Commission that is responsible for enforcing and implementing federal securities regulations. However, specialized financial products, like derivatives and and futures, are regulated by the CFTC or Commodity Futures Trading Commission. 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. Business observers, like Georgetown business professor Chris Brummer, have also cited the complication of regulating securities trading given the presence of disruptive technologies. If you are interested in learning more about Professor Chris Brummer and financial and securities regulations, the best thing you can do is look up information about financial regulatory bodies online.
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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 find out more about investing in securities and other financial info, all you have to do is search the Internet for financial and securities regulation information.


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