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Important Information Concerning Financial and Securities Regulations

After the stock market crash that occurred in 1929, the government has paid close attention to the financial services industry, particular the securities exchange markets. Securities regulations cover all transactions that involve the exchange of financial assets known as securities. This can be difficult for a variety or reasons. First of all, what qualifies as 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.

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. 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 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. 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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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.