Regulation and Investor Protection in Financial Markets

In this section

• SEC, CFTC, and FINRA
  Learn how the SEC, CFTC, and FINRA divide oversight across securities, derivatives, broker-dealers, and investor protection.
• Derivatives Regulation and Dodd-Frank
  Review Dodd-Frank, clearing, reporting, and trading rules that shape derivatives markets and reduce systemic risk.
• Investor Rights and Disclosures
  Understand investor rights to disclosure, fair dealing, records, complaints, and access to key investment documents.
• Avoiding Fraud and Investment Scams
  Identify common fraud warning signs, due-diligence steps, and reporting channels for suspicious investment activity.