Regulations (FINRA, SEC)

Regulations by FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) are rules designed to protect investors and maintain fair, transparent financial markets. FINRA oversees brokerage firms and their representatives, ensuring they follow ethical practices and disclose information properly. The SEC regulates the securities markets, enforcing laws against fraud, manipulation, and insider trading, while also requiring companies to disclose financial information transparently. Together, these agencies aim to prevent misconduct, promote integrity, and help investors make informed decisions. Their regulations create a structured environment that fosters trust and stability in the financial industry.