Securities regulation
Rules governing the issuance and trading of securities, market conduct and investment businesses.
Overview
Securities regulation covers disclosure, registration, trading conduct, market abuse, custody and investor protection. It is enforced by bodies such as the SEC, provincial securities commissions, the FCA and ESMA, and by SROs such as FINRA and CIRO.
It connects most directly to Securities and Exchange Commission, Financial Industry Regulatory Authority, MiFID II and Capital markets.
Check the official sources below for legal scope, applicable dates and exceptions. This entry is an explanatory reference, not legal advice.
Why it matters
Securities violations bring heavy penalties and personal liability.
Who it affects
Issuers, broker-dealers, investment advisers, exchanges and asset managers.
Where it sits
Ten linked steps connect where you operate to the proof that you complied.
- 01Jurisdiction
- 02Industry
- 03Activity
- 04Authority
- 05Regulation
- 06Requirement
- 07Guidance
- 08Control
- 09Evidence
- 10Enforcement
Connections
The terms most closely tied to Securities regulation. Select one to open it.
What to do about it
- 1List the laws and authorities in this area that apply to you.
- 2Map each obligation to a control and owner.
- 3Monitor change and enforcement in the area.
- 4Report coverage and gaps to management.
From requirement to evidence.
Securities obligations are mapped by activity, from trading to custody.
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