The Ultimate Guide to Finances

A Brief Look at Securities Regulation

The field of securities regulation is a body or laws and regulations that deal with securities and related financial transactions. The SEC, or Securities Exchange Commission, is the main governing body in the federal government, with various commissions working at the state level. The financial securities industry also has self regulating entities like FINRA or the Financial Industry Regulatory Authority. If you make an investment in the securities markets, it is good to know that regulatory bodies are there to protect your investment to the extent that it is legally possible.

The world of securities exchange and financial markets are both complicated and profitable. However, unlike the banks where your deposits are insured and protected, your investments in securities are not in any way guaranteed. There is a good possibility that the money you invest could be completely lost. The truth is that securities markets can be extremely volatile, changing in a moment’s time. Therefore, it is important to follow markets closely and ask questions before you invest your money.

These days there are numerous disruptive forces that are now being brought to bear on the world of securities exchange. Securities are financial products that no actual value by themselves. The value that these commodities have is determined by the markets in which they are exchanged. Because of this, securities can rise in value over night, or bottom out and lose all value in the same small amount of time. These days there are disruptive technologies that are effecting global financial markets on a global scale. The latest advances in communications technologies have really presented serious challenges to the regulatory bodies that are charged with protecting the integrity of our securities markets.
Practical and Helpful Tips: Regulations

In the world of Global Finance, mobile and Internet technologies play a role as disruptive forces in the securities markets. Many people are wondering how improvements in communications technologies can be disruptive in the exchange of securities? Disruptive technologies can increase the likelihood of fraud or decrease transparency, making it possible for those who are not market savvy to step into bad investments. Those who are planning to make investments in securities should be sure to learn more about securities regulations to avoid investment fraud in the future.
What Has Changed Recently With Technology?

The goal of securities regulations is to increase transparency and reduce the amount of fraud in the securities markets. If you would like more information about soft law, the influence of disruptive technologies and securities regulations, the first thing you should do is visit the website of a law firm that handles securities fraud cases. To get started, all you have to do is perform a search engine search for information about securities regulations and global financial law.