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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.

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What is the settlement date? Definition, How It Works, and Examples

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What is a primary market? Definition, types, and examples

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Repo Transactions: Definition, Types, and Real-World Examples

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LEAPS: How They Work, Types, and Examples Thumbnail

LEAPS: How They Work, Types, and Examples

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The Greeks Explained: How They Work, Types, and Examples Thumbnail

The Greeks Explained: How They Work, Types, and Examples

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Gordon Growth Model: Definition, How It Works, Example and Formula Thumbnail

Gordon Growth Model: Definition, How It Works, Example and Formula

SuperMoney Team

Dealers Explained: How They Work, Types, and Examples Thumbnail

Dealers Explained: How They Work, Types, and Examples

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Unit Investment Trust (UIT): Definition, Types, Pros and Cons Thumbnail

Unit Investment Trust (UIT): Definition, Types, Pros and Cons

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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).