LAW & CONTRACTS: Securities Law checklist (printable)
In order to make stocks and securities safer for the public, there are multiple securities laws in place. The laws are to protect investors in multiple ways.
* The laws create a set of guidelines in which people must operate
* They give people the ability to prosecute cases of market misconduct, such as insider trading
* They create licensing requirements in order for people to provide financial services
* They help protect clients
* They help maintain confidence in the financial markets by outside countries
* To further create security, banks, mutual funds, pension funds and all investment vehicles have their own specific laws and regulations
* Laws are created by governmental bodies, and there are also non government groups who regulate investments
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