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All About Financial and Securities Regulations There are many reasons why people like to venture in investments. When people invest in stocks, they give their money the ability to grow. There are many types of investments such as stock mutual funds, exchange traded funds, or a properly diversified mix of individual stocks. Usually, people are usually advised to invest when they are young. There are several main reasons to consider investing in stocks in-case it is a retirement goal. One of the main reasons is that stocks have offered the most of us a potential to grow. Such growth will be realized in as much as there are the ups and downs in markets. A person can always leave the stock market in cases of drops that are experienced there. This is why stocks should 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. Stock investments are usually dependent on someone’s time horizon, risk tolerance and also their financial situations. The business of investments is usually full of risks. For this reason, there arises 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. There are rules and laws in financial regulations that govern financial institutions like banks, brokers and also the dealings of investment companies. The rules are usually effected by government regulators or international groups in order to protect investors, keep the markets orderly and finally promote financial stability.
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There is a field in the U.S. law that covers regulations dealing with financials and securities. What is mainly covered in the law includes any dealings in financial transactions and securities. Securities and Financial regulations are mainly covered by regulatory agencies which are purely governmental at a State and Federal level. The Securities and Exchange Commission, also known as the SEC is the main body that deals with such regulations in the U.S.
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In the field of investments, fraudulent activities always occur. Some of these activities are carried out knowingly by people who want to benefit illegally, also known as Ponzi Schemes. There are people who have been arrested and sued for cases regarding fraud. One of the key people who have been accused of financial fraud 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.