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All About Financial and Securities Regulations Investments are a good thing and there are plenty of reasons why people venture in them. If a person invests in stocks, they give their money the potential to grow. The types of investments available include exchange traded funds, stock mutual funds as well as a mix of properly diversified individual stocks. When people are young enough to understand the stock markets, they can be advised to start investing then. There are several main reasons to consider investing in stocks in-case it is a retirement goal. This is because stock investments offer people the potential to mature financially. This is despite the usual ups and downs that are experienced in the market. The second reason is that in the case of stock market drops, a person can always ride out. It is, however, advisable that stock investments be held for a long period of time. The third reason is that a person doesn’t necessarily have to invest all that they have in stocks. Investing is usually dependent on a person’s time horizon and other factors such as financial situations and risk tolerance. There are risks that can originate from investments. For such reasons, there is a need for investor protection. The government has put up bodies and regulations which are governed by law in order to offer investors the required protection. Appointed agencies have also been put up so that they can oversee and regulate companies and financial markets. Each of these agencies have a specific range of responsibilities and duties which enable them to work independently as they aim to achieve similar objectives. Financial regulations are the rules and laws that govern the financial institutions like banks, broker and investment companies’ business dealings. These rules are put in place by the government and other international groups so that they can offer protection to investors, maintain orderly markets as well as promote financial stability.
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Financial and securities regulation is covered in the field of the U.S. law. What is mainly covered in the law includes any dealings in financial transactions and securities. Regulations governing financial and securities transactions are usually covered at a State and Federal level. In the U.S., there is a body known as Securities and Exchange that deals with these kinds of regulations.
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In the field of investments, fraudulent activities always occur. These are Ponzi like Schemes where people want to benefit illegally. Most people have been arrested and also sued for fraud. The most common case of a person who was accused of fraudulent activities is Chris Brummer. Everyone can be advised to avoid any dealings that may eventually land them in jail, as the field of investments is a sensitive one.