If You Read One Article About Securities, Read This One
Important Information Concerning Financial and Securities Regulations Ever since the stock market crash of 1929, government regulation of financial transactions and securities exchanges has been common practice. 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. Mainly this is due to the fact that the definition of what a security actually is, or what financial assets qualify as securities, varies according to the jurisdiction. Regulations change as you go from one jurisdiction to another, including from federal to state and even to the local level which can include self-regulating bodies. The fact is that most people are at least somewhat invested in securities, especially given the fact that most pension portfolios involve mutual funds. What this means is that the regulations that the government and independent bodies place on financial and securities should be important to all of us. When the collapse of 2008 occurred, it was found that the lack of responsible oversight and regulation that contributed to the market crash a great deal, directly resulting in severe financial losses among millions of Americans involved in securities trading. 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. In most cases securities regulations are matters of federal law. The federal body that implements and enforces securities regulations is called the SEC or Securities Exchange Commission. The trading of special financial products like futures and derivatives are regulated by the Commodity Futures Trading Commission, which is abbreviated CFTC. All financial services and securities industry professionals are registered with these federal bodies.
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Many securities brokers and investors, however, believe that federal oversight is excessive since the securities industry is already self regulated by organizations like FINRA and NASD. 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. All you need to do to find out more about securities and other financial assets and products, all you have to do is search the Internet for financial and securities regulation information.