Anna/ May 11, 2018/ Employment

What to Know About Financial and Securities Regulation

Securities regulation is a type of law that has to do with transaction and other elements of securities. Securities are evident in the stock market, while they also exist on state and national levels. It was actually the Wall Street crash in the 20’s that brought on the need for this type of securities management. Before the crash there were not enough laws in place that had to do with keeping track of the securities, and without those regulations there were quite a lot of issues. These days it is regulated very closely, but it takes a great and very knowledgeable lawyer to know how to sort through those details properly.

More than anything securities just represent rights which is a bit of an obscure concept for a lot of people. They don’t have an actual value attached and they are not produced or distributed. Without a cost to offer them, there is not really a limit in how many of them can be offered per situation. There are few limitations involved on that side of the equation. But that truth is all the more reason that they need to be carefully regulated. It’s actually the fluctuation of the supply and demand market that gives securities their value.
Since they are somewhat of an obscure concept, there needs t be tons of rules in place to make sure everyone is playing fair. Securities must be registered with the Securities and Exchange Commission before they can be sold on the market.

If you find yourself working with a lawyer in the world of securities it might take you a minute to catch up on all the new words that they use. Besides the fact that it’s a bit complicated to begin with, the market changes frequently, and the currency world is constantly evolving. The concept of crowdfunding is sometimes used as an example for how the way we exchange value has changed in recent years.

A lawyer who works in securities is likely to work somewhere like a government agency, a brokerage office, on Wall Street, or in a regular law firm. This type of lawyer is often called upon to sort things out during court cases, as well as stay involved with regulators. In this type of law a junior associate might not have any direct contact with the clients at all since the more senior members handle that. Even without working directly with the clients it can be very rewarding to master. It’s a specialized and intriguing position for many people who are fascinated by numbers and staying ahead of the trends.

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