- "Securities regulation in the United States is the field of U.S. law that covers transactions and other dealings with securities."
It is the law that regulates the issuance and trading of securities, including stocks and bonds.
Introduction to Securities Law: An overview of the Securities Law and its main objectives, including the regulation of market participants, issuers, and securities transactions.
Types of Securities: A detailed discussion of the different types of securities, including stocks, bonds, mutual funds, options, and futures.
Securities Market: An analysis of the securities market, including the different types of markets, exchanges, and trading mechanisms that allow securities to be bought and sold.
Issuers of Securities: A study of the different types of issuers that offer securities to public, including corporations, governments, and other organizations.
Securities Laws and Regulations: A review of the major securities laws and regulations such as the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940 and the Investment Advisers Act of 1940.
Securities Litigation: An overview of securities litigation, including the types of claims that arise, the important players in litigation, and the procedural and substantive issues that arise in litigation.
Securities Enforcement: A discussion of the regulatory enforcement of securities laws and the various agencies involved in securities enforcement, including the SEC, DOJ, CFTC, and FINRA.
Investment Management: A study of investment management, including the roles and responsibilities of investment managers, investment advisory services, fiduciary duties, and regulatory requirements.
Corporate Governance: An analysis of corporate governance, including the roles of boards of directors, executive management, and shareholders in controlling the corporation.
International Securities Law: A study of the international securities law landscape, including the key international organizations and standards that govern securities transactions across borders.
- "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)."
- "On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC)."
- "Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC)."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Failing to comply can even result in criminal liability."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "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)."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC)."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "On the federal level, the primary securities regulator is the Securities and Exchange Commission (SEC)."
- "...rules of self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA)."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Failing to comply can even result in criminal liability."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties."
- "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)."