The heavy regulations surrounding the financial markets are designed to protect consumers and investors. Explore Investopedia's expert-written library to learn what you need to know.

Explore Investing Regulations

What Is Regulation A? Definition, Update, Documenation, and Tiers
U.S. Securities and Exchange Commission headquarters
Rule 10b5-1 Definition, How It Works, SEC Requirements
Paul Volcker
Volcker Rule: Definition, Purpose, How It Works, and Criticism
Rule 10b-18 Definition and How Compliance Works
Section 16 Definition and SEC Filing Requirements
What Was the Short Sale Rule? Definition, History and Controversy
Government Regulations: Do They Help Businesses?
Government Regulations: Do They Help Businesses?
Calculate How Much Cost or Spending Have With Credit Cards
Chapter 11 Bankruptcy's Effects on Shareholders Equity
How Government Regulation Affects the Financial Services Sector?
Zoning Ordinance: Definition, Types of Regulations, Pros and Cons
Close-Up Of Stock Market Data On Digital Display
SEC Rule 144: Definition, Holding Periods, and Other Rules
Regulation W: Definition in Banking and When It Applies
The US Securities and Exchange Commission headquarters located at 100 F Street, NE in the Near Northeast neighborhood of Washington, DC
Rule 144A: Definition, What It Allows, and Criticism
Vintage toned Wall Street at sunset, NYC.
How Investment Banks Are Regulated
Stock graph
Uptick Rule
Businessman snake charmer improving bar chart graph
What Is Rule 10b-5? Definition and Role in Securities Fraud
U.S. Secutities and Exchange Commission headquarters
Are Private Companies Required to Publish Financial Statements?
Securities and Exchange Commission headquarters.
Regulation Best Interest (BI): Definition, Broker Obligations
Regulation SHO: Definition, What It Regulates, and Requirements
What Was Rule 48?
U.S. Secutities and Exchange Commission headquarters
Regulation Fair Disclosure (Reg FD): Definition, Transparency
Habendum Clause
Businessman was beaten spit out coins
Civil Money Penalty (CMP)
The US Securities and Exchange Commission headquarters located at 100 F Street, NE in the Near Northeast neighborhood of Washington, DC
Regulation NMS
President Barack Obama signing bill in Oval Office.
Major Regulations Following the 2008 Financial Crisis
Regulated Market Explained, With Pros and Cons
Historical photo of a bank run in New York
Diamond-Dybvig Model: Theory of Bank Runs
Store owner puts open sign in store window
Anti-Boycott Regulations
Rules of Fair Practice
Warehouse Team Meeting
Master-Servant Rule
Regulation EE
Aerial view of business people in a meeting with papers and a laptop on the table
Rule 10b-6
United States Federal Reserve building, Washington DC, USA
Regulation K
Judge Holding Documents
Abeyance Order
What are the requirements for being a Public Limited Company?
What is the purpose of the Volcker Rule?