Despite a wide range of misdeeds uncovered at
publicly traded companies and investment firms in the recent past, the securities markets are among the most heavily regulated aspects of the U.S. economy. In fact, some might argue that if it weren’t for the highly regulated environment in which the securities industry operates, these improprieties might never have come to light.
The federal government, state government, and the securities markets’ own regulatory bodies — called
self-regulatory organizations or SROs
— all play a role in regulation. While there is disagreement about how much regulation is too much (or not enough), regulation is ultimately about creating a business environment that both fosters competition and innovation yet instills public confidence in the integrity and fairness of the securities markets.
Public companies have responsibilities to their employees, their shareholders, and the public at large. Learn how public companies are structured and regulated — and the impact good corporate governance can have on you as an investor.
Financial services companies have access to your personal information and financial records. Find out how they safeguard it, use it, and what your options are.
IN THE NEWS
The
broker/adviser distinction One of the key distinctions between brokers and advisers is who regulates them. Understanding what these professional titles mean can help you identify the right type of professional for your needs.
