Securities law

The law governing the issuance, trading, and regulation of stocks, bonds, and other financial instruments by companies and governments.

What does securities regulation in the United States cover?

- "Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities."

What does the term "securities regulation" typically include?

- "The term is usually understood to include both federal and state-level regulation by governmental regulatory agencies, but sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA)."

Which is the primary securities regulator on the federal level?

- "On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC)."

Which regulatory agency is responsible for regulating futures and derivatives?

- "Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC)."

Why is it important for businesses to understand and comply with securities regulation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

What are the potential consequences of failing to comply with securities regulation?

- "Failing to comply can even result in criminal liability."

What is the role of state security commissioners in securities regulation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

Which organizations are responsible for setting listing requirements for exchanges?

- "Sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA)."

How does compliance with securities regulation help businesses avoid litigation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

What areas of the financial market does the Commodity Futures Trading Commission regulate?

- "Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC)."

What can businesses do to avoid criminal liability regarding securities regulation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

Which regulatory agency oversees securities transactions on a federal level?

- "On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC)."

What is the purpose of self-regulatory organizations like FINRA in securities regulation?

- "...rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA)."

What are some potential consequences for not complying with securities regulation at the state level?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

How does securities regulation help businesses avoid litigation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

Which types of legal entities can take legal action against businesses for non-compliance with securities regulation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

How does non-compliance with securities regulation affect businesses?

- "Failing to comply can even result in criminal liability."

What are the potential consequences of non-compliance with securities regulation from state regulatory agencies?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

How can businesses avoid criminal liability in relation to securities regulation?

- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."

Which regulatory agencies are involved in securities regulation besides the SEC and CFTC?

- "Sometimes may also encompass listing requirements of exchanges like the New York Stock Exchange and rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA)."