Broker-Dealer Regulation

Broker-dealer regulation involves the rules and standards governing firms or individuals that buy and sell securities on behalf of clients or their own accounts. These regulations ensure that broker-dealers operate fairly, transparently, and with the best interests of their clients in mind. They are required to register with regulatory bodies, such as the SEC (Securities and Exchange Commission) in the U.S., and adhere to rules that prevent fraud, ensure financial stability, and protect investors. Overall, these regulations promote trust and integrity in the financial markets.