Buying and Selling at Securities Exchanges
Completion requirements
This highlights where securities are traded. You will learn more about the role of broker and dealer markets. You will also come to learn how these different markets are regulated. What are the different markets where securities are traded? What are the differences between each market?
Regulation of Securities Markets
Both state and federal governments regulate the securities markets. The states were the first to pass laws aimed at preventing securities fraud. But most securities transactions occur across state lines, so federal securities laws are more effective. In addition to legislation, the industry has self-regulatory groups and measures.