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Financial and Securities Regulation Info. There are many reasons why people like to venture in investments. If a person invests in stocks, they give their money the potential 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. In case investing in stocks is a retirement goal, there are many advantages associated with doing so. One of the main reasons is that stocks have offered the most of us a potential to grow. This is despite market ups and downs that are usually experienced by investors. 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. 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 such reasons, there is 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. There are agencies that have been put in places so that they can regulate and oversee companies and financial markets. They work to achieve a similar objective in as much as they have a specific range of duties and responsibilities. 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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Fraudulent activities can always occur in the field of investments. 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. The most common case of a person who was accused of fraudulent activities is Chris Brummer. People are therefore advised to avoid any business that may lead them to be accused of being fraudulent.