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Financial and Securities Regulation Info. Investments are a good thing and there are plenty of reasons why people venture in them. Investing in stocks gives the money we as individuals have 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. 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. This is because stock investments offer people the potential to mature financially. 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. It is, however, advisable that stock investments be held for a long period of time. One more important thing to note is that a person doesn’t have to put everything they have in stocks. Stock investments are usually dependent on someone’s time horizon, risk tolerance and also their financial situations. There are risks that can originate from investments. For this reason, there arises a need for investor protection. For this reason, governments have put up regulations and bodies that are governed by the law so that they can fulfil the role of investor 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 institutions such as banks, investment companies, and brokers are governed by the rules and laws in Financial Regulations. The government and other international groups effect the rules and laws so that they can protect investors, keep the markets in order as they promote financial stability.
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The regulations in the financial and securities are covered in the field of the U.S. law. They cover any dealings in both securities and financial regulations. The term Securities and Regulation is mainly understood to cover both the federal and state level regulation by regulatory agencies that are purely governmental. 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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It is possible to find cases of fraudulent activities in the field of investments. 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. It is therefore advisable that people who are in the field of investments avoid any dealings that may end them in jail as this is a sensitive field for investors.