A General Overview of Financial and Securities Regulations Ever since the stock market crash of 1929, government regulation of financial transactions and securities exchanges has been common practice. 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. one of the biggest reasons is the fact that the definition of 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. 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. Regulation of financial services and securities falls under the auspices of federal law. The federal body that implements and enforces securities regulations is called the SEC or Securities Exchange Commission. However, specialized financial products, like derivatives and and futures, are regulated by the CFTC or Commodity Futures Trading Commission. The SEC registers all professionals who work in the securities and financial services industry, including brokers dealers and brokerage firms.
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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. Many observers, like Professor Chris Brummer of Georgetown, have written extensively about the involvement of disruptive technologies in the process of regulating securities exchanges. 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. The financial and securities regulations in place on all levels of the financial industry, from federal and state regulatory bodies, to independent organizations, all exist to help protect the consumer of financial services from undue losses as a result of unfair practices. 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.…