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Securities Regulation

Securities regulation is a key aspect of the financial industry, and is concerned with the rules and regulations that govern the buying and selling of securities. These rules are designed to protect investors from fraud and other types of financial misconduct, and are enforced by government regulators such as the Securities and Exchange Commission (SEC). Continue Reading Below

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Encyclopedia Articles

Discover the definition of financial terms related to securities regulation.

Regulation T: Meaning, Purpose and Benefits Thumbnail

Regulation T: Meaning, Purpose and Benefits

SuperMoney Team

Proprietary Trading: What It Is and How It Works Thumbnail

Proprietary Trading: What It Is and How It Works

SuperMoney Team

SEC Regulation D: What It Is and Why It Matters Thumbnail

SEC Regulation D: What It Is and Why It Matters

SuperMoney Team

Buying Power: Types and How to Calculate Thumbnail

Buying Power: Types and How to Calculate

SuperMoney Team

Investment Companies: What They Are and How They Work Thumbnail

Investment Companies: What They Are and How They Work

SuperMoney Team

Stock Volume: What It Is and How It Is Measured Thumbnail

Stock Volume: What It Is and How It Is Measured

SuperMoney Team

Series 63: What it is and How to Prepare for the Exam Thumbnail

Series 63: What it is and How to Prepare for the Exam

SuperMoney Team

Bid-Ask Spread: Definition, How It Works, and Examples Thumbnail

Bid-Ask Spread: Definition, How It Works, and Examples

SuperMoney Team

Tape Reading: What It Is, How It Works, and Examples Thumbnail

Tape Reading: What It Is, How It Works, and Examples

SuperMoney Team

Over-the-counter bulletin board (OTCBB): Overview, Key Features, and Insights Thumbnail

Over-the-counter bulletin board (OTCBB): Overview, Key Features, and Insights

SuperMoney Team

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About Securities Regulation

Securities regulation is a key aspect of the financial industry, and is concerned with the rules and regulations that govern the buying and selling of securities. These rules are designed to protect investors from fraud and other types of financial misconduct, and are enforced by government regulators such as the Securities and Exchange Commission (SEC).