Financial Law Guide

What You Need to Know Concerning Securities Regulation


Securities regulation is a field that regulates securities transactions and related financial dealings both on the national and global level. In the United States these regulations are administered both on the federal and state levels by the SEC and various state commissions. The financial securities industry also has self regulating entities like FINRA or the Financial Industry Regulatory Authority. Whenever a person invests in the securities markets, they can rest assured that your investment is protected to the extent allowed by the law from unlawful and dubious activities.


The securities market can be incredibly complex and profitable. Unlike making a deposit in the bank, investing your money is not guaranteed. There is a good possibility that the money you invest could be completely lost. The exchange of securities on the securities markets can be extremely volatile and unpredictable. This means that you should certainly do market research and ask plenty of questions before you make any investment. For more facts about securities, visit this website at


Today, however, there are many disruptive forces at play in the securities exchange markets. The securities that are exchanged on the securities market have no value in and of themselves. The value of securities is completely determined by market activities. While this makes it possible for the value of securities to go way up, making investors an incredible profit, it also has the potential of succumbing to market forces that make the value of securities bottom out. These days there are disruptive technologies that are effecting global financial markets on a global scale. These disruptive technologies are so recent that they present a type of unforseen challenge to regulatory bodies world wide.


In the world of Global Finance, mobile and Internet technologies play a role as disruptive forces in the securities markets. You may be asking how the latest technologies may be disruptive? These disruptive technologies actually reduce market transparency, making it possible for new investors to step into fraudulent investments. Those who are planning to make investments in securities should be sure to learn more about economic diplomacy regulations to avoid investment fraud in the future.


Securities regulators have a goal of increasing transparency and thus reducing the amount of investment fraud. If you would like more information about soft law, the influence of disruptive technologies and securities regulations, the first thing you should do is visit the website of a law firm that handles securities fraud cases. To get started, all you have to do is perform a search engine search for information about securities regulations and global financial law. Know how international financial law works here!