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What Regulates securities and other financial market investments?
Wiki User
∙ 12y ago
The Securities and Exchange Commission, the Commodity Futures Trading Commission, and the U.S. Department of Justice monitor and enforce relevant laws and regulations concerning securities and futures markets.
Wiki User
∙ 13y ago
Wiki User
∙ 11y agoThis would be the (SEC)The Security Exchange Commission in the United States. The regulate the U.S. stock exchange and the approves securities, companies and investments into market. Under them is these other agencies:
(FINAR) Financial Industry Regulatory Authority and (CFTC) Commodities Futures Trading Commission.
Other key players is the FED (Federal Reserve System) which is the nations banking system that regulates interest rates and the monetary valuation of the dollar. Based of their standards of measurement of monetary values the aid in defining valuation of securities and investments traded such as interest rate values and etc. Under the Fed are these other branches (FDIC) Federal Deposit Insurance Corporation, (OCC) Office of the Comptroller of Currency, and (OTS) Office of Thrift Supervision.
The third notable regulator that also is the end stage of securities and investments is the IRS as they utilize the values of gains for tax allocations and determine as well as approve tax and non-tax liable gains of return that in some ways effects market security and investments valuations. As some investments are tax shelters (non-taxable) while others are substantial to tax revenues (higher taxes per market value gains on investment).
Then there are various foreign investment regulator as some securities and investments are permitted trade in various market shares availing themselves to a global investment offering. Pending what nation these investments are from it varies. Usually they are overseen by local markets in which they are traded in. These must apply also via the U.S. department of commerce as well as the SEC depending on the nature of the investment. Two good sources on this engagement is the International Organization of Securities Commission and the International Centre for Financial Regulations.
Note many developed economic nations has it's own securities, investments, exchange and commodities regulatory institutions that usually work with the two main international regulators as well as division of global finance thru the U.N. including World bank - but this is at a more national government stage then consumer but do influence foreign markets through vehicles like government sanctions negotiations and affiliate approval systems to engage in the global market share in foreign trade of securities, investments and commodities.
Wiki User
∙ 12y agoSecurities and Exchange Commission
Wiki User
∙ 12y agoPossibly the Financial Services Authority FSA, or the Office of Fair Trading OFT
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Regulates securities and other financial market investments?
SEC
What organization regulates securities and other financial market investment?
In the United States, the Securities and Exchange Commission (SEC) is responsible for regulating securities and other financial market investments. The SEC oversees the enforcement of regulations to ensure fair practices and protect investors. It also promotes transparency in financial markets and provides information to investors.
What is the Securities and Exchange Commission (SEC)?
federal agency that regulates the Stock Market
What has the author John L Teall written?
John L. Teall has written: 'Financial market analytics' -- subject(s): Mathematics, Business mathematics, Investments 'Financial trading and investing' -- subject(s): Securities, Prices, Speculation, Investments 'Quantitative methods for finance and investments' -- subject(s): Mathematical models, Finance, Investments
A market in which an investor purchases financial securities via an investment bank or other representative from the issuer of those securities is?
Primary market
Who regulates the stock exhanges in India?
SEBI is the primary governing/regulatory body for the securities market in India. All transactions in the securities market in india are governed & regulated by SEBI.SEBI stands for Securities and Exchanges Board of India
How do you use the word regulates in a sentence?
The thermostat regulates the temperature in the home.
What is financial markets?
A financial marketis the market (physical or networked) where financial securities are issued and traded. There are two classifications of markets: primary market (where new stocks and bonds are issued) and secondary markets (where selling and purchasing of existing securities among market participants are conducted). Furthermore there are several kinds of market, such as:Fixed income market: a market where securities that guaranty a certain amount of income (i.e. bonds) are tradedCapital market: a market where long term debt and equity are tradedMoney market: a market where short term securities are tradedDerivative market: a market where derivatives (i.e. futures and options) are traded
What is the synonym for International credit market?
it is an international financial market where participants buy and sell debt securities
Why in an efficient market investments have an NPV of 0?
why investment in financial market have zero NPV? where as firms can find many investments in their product markets with positive NPVs.
Different components of financial of securities market?
Components of the Capital market: 1. Bond Market - the market for debt instrument of any kind. 2. Mortgage Market - deals with loan or residential, commercial, and industrial real estate and on farmland. 3. Stock Market - common and preferred stocks issued by corporations are traded.
What is STT in Investments?
STT is securities and transaction tax; its a tax one has to pay for buying and selling shares (stocks) on stock market
