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HomeHomework HelpfinanceFinancial Market Regulation

Financial Market Regulation

Financial market regulation refers to the framework of laws, rules, and guidelines established by governmental and regulatory bodies to oversee and ensure the integrity, transparency, and stability of financial markets, thereby protecting investors and maintaining fair trading practices. It encompasses measures aimed at preventing fraud, market manipulation, and systemic risks within the financial system.

intermediate
3 hours
Finance
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Overview

Financial market regulation is essential for maintaining the integrity and stability of financial systems. It involves a set of rules and laws designed to protect investors, ensure fair trading practices, and promote transparency. Regulatory bodies like the SEC and CFTC play a crucial role in enforc...

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Key Terms

SEC
Securities and Exchange Commission, a U.S. government agency that regulates securities markets.

Example: The SEC oversees stock exchanges to prevent fraud.

CFTC
Commodity Futures Trading Commission, which regulates the U.S. derivatives markets.

Example: The CFTC ensures fair trading in futures and options.

Dodd-Frank Act
A comprehensive financial reform law enacted in response to the 2008 financial crisis.

Example: The Dodd-Frank Act aims to reduce risks in the financial system.

Market Manipulation
Actions taken to artificially influence the price of securities.

Example: Pump and dump schemes are a form of market manipulation.

Compliance
Adhering to laws and regulations set by governing bodies.

Example: Companies must ensure compliance with SEC regulations.

Investor Protection
Measures taken to safeguard investors from unfair practices.

Example: Regulations require transparency to protect investors.

Related Topics

Corporate Governance
The system of rules and practices that direct and control a company.
intermediate
Investment Strategies
Methods used by investors to allocate their assets effectively.
intermediate
Risk Management
The identification, assessment, and prioritization of risks followed by coordinated efforts to minimize, monitor, and control the probability of unfortunate events.
advanced

Key Concepts

Regulatory BodiesMarket ManipulationInvestor ProtectionCompliance