Securities Law
Securities Law refers to the body of regulations that govern the issuance, trading, and sale of financial instruments known as securities. These can include stocks, bonds, and mutual funds. The primary goal of these laws is to protect investors from fraud and ensure that they have access to essential information about the securities they are considering.
In the United States, the main regulatory bodies overseeing securities law are the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These organizations enforce rules that require companies to disclose financial information and adhere to fair trading practices, promoting transparency and trust in the financial markets.