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A Closer Look at 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. 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. 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. Therefore, if you are engaged in the financial services industry, particularly if they make up part of your retirement plan, it is important to have a strong understanding of securities regulations. 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. But other more specialized financial trading, like futures trading and derivative trading, are regulated by the Commodity Futures Trading Commission, or 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. Many observers, like Professor Chris Brummer of Georgetown, have written extensively about the involvement of disruptive technologies in the process of regulating securities exchanges. 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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A great way to find financial and securities regulations info is to read informative papers written by experts like Professor Brummer. The truth is that financial and securities regulations, whether they exist at the state or federal levels, or they are being applied by self-regulating agencies, exist to help protect investors from unfair trading 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.