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Important Information Concerning 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. The regulation of securities can be difficult for all kinds of 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 people have at least some level of involvement in the securities exchanges, especially as it pertains to mutual funds and pension investment portfolios. 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. The federal organization that implements and enforces federal securities regulations is the 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. The SEC registers all professionals who work in the securities and financial services industry, including brokers dealers and brokerage firms.
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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. Those who are interested in finding out more about financial and securities regulations should begin by taking a minute to search the Internet for information about financial regulatory organizations.
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The best way to learn about financial and securities regulations is to take a moment to read informative articles by experts like Professor Chris 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.