19. Regulatory Environment and Investor Protection

In this section

• Key Regulatory Agencies: SEC, CFTC, FINRA
  Explore the essential roles of the SEC, CFTC, and FINRA in regulating the U.S. securities and derivatives markets. Understand how these agencies protect investors and maintain market integrity.
• Key Regulations for Derivative Instruments: Understanding Dodd-Frank and Beyond
  Explore the essential regulations governing derivative instruments, including the Dodd-Frank Act, and learn how they aim to enhance transparency and mitigate systemic risk in financial markets.
• Investor Rights: Understanding Your Rights as an Investor
  Explore your rights as an investor, including access to disclosures, fair treatment, and accurate information, with guidance on reading prospectuses and filing complaints.
• Avoiding Fraud and Scams: Protecting Your Investments in Financial Markets
  Learn how to identify and avoid common investment fraud schemes in the financial markets. This comprehensive guide provides insights into recognizing red flags, conducting due diligence, and safeguarding your investments against scams.