Securities Regulation
/ˈsɛkjʊrɪtiz ˌrɛɡjʊˈleɪʃən/
Definitions
- (n.) The body of laws and regulations governing the issuance, sale, and trading of financial securities to protect investors and ensure market integrity.
The company faced penalties for violating securities regulation by failing to disclose critical financial information.
- (n.) The administrative and enforcement activities carried out by governmental agencies to ensure compliance with securities laws.
Securities regulation is enforced by agencies like the SEC to prevent fraud and market manipulation.
Related terms
Commentary
Securities regulation often involves complex compliance requirements and is primarily concerned with balancing investor protection and capital market efficiency.
This glossary is for general informational and educational purposes only. Definitions are jurisdiction-agnostic but reflect terminology and concepts primarily drawn from English and American legal traditions. Nothing herein constitutes legal advice or creates a lawyer-client relationship. Users should consult qualified counsel for advice on specific matters or jurisdictions.