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.

What Is Regulatio💯n A? Definition, Update, Documenation, and Tier﷽s
Rule 10b5-1
Rule 10b5-1 Definition, How It Works, SEC Rౠequirements
Volcker Rule: A federal regulation that generally prohibits banks from conducting certain investment activities.
Volcker Rule: Defiℱnition, Purpose, How It Works, and Criticism
Rule 10b-18 Definition and How Compliance Works
The directors and officers of a company gather around a conference table to discuss the upcoming annual meeting.
Section 16 Definition and SEC Filing Requirements
A trader uses a pad at a cafe table to check stock market data.
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 Regu⛎lation Affects the Financial Service🍰s Sector?
Real estate developers stand in an empty commercial space and consider the options for their project, taking zoning ordinance into account.
Zoning Ordinance: Definition, Types of Regula๊tions, Pros and Cons
Close-Up Of Stock Market Data On Digital Display
SEC Rule 144: Definitꦑion, Holding P🦹eriods, and Other Rules
Regulation W: A Federal Reserve System rule limiting certain transactions between banks and their affiliates.
Re🔯gulation W: Definition in Banking✅ and When It Applies
Rule 144A: A legal provision that lifts restrictions on the trading of privately placed securities for qualified institutional buyers.
Rule 144A: Definition, Wha👍t It Allows, and Cri🅺ticism
Vintage toned Wall Street at sunset, NYC.
How Investment Banks Are Regulated
Stock graph
Uptick Rule: An SEC Rule Governing Short Sales
Hands on a laptop keyboard
Rule 10b-5: Definition and 🔯Ro꧒le in Securities Fraud
Businessperson in a suit with a gavel and mini-scale of justice nearby.
Regulation Beꩲst Interest (BI): Definition, Broker Obligations
Regulation SHO: Definition, What It Regulates, and Re𓃲quirements
What Was Rule 48?
U.S. Secutities and Exchange Commission headquarters
Regulation Fair Disclosure (Reg FD): Definition, Transparen𝐆cy
Habendum Clause: What it Means, How it Works
Businessman was beaten spit out coins
Civil Money Penalty (CMP): What 🌟it is, How it W🌳orks
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 Fol♐𓆏lowing the 2008 Financial Crisis
Traders work in the S&P options pit at the Cboe Global Markets exchange in Chicago, Illinois, on Wednesday, Aug. 28, 2024.
Regulated Market Explained, With Pros and Cons
An Investor looks at monitors tracking prices of securities.
Commodity vs. Security: What's the Difference?
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: Meaning, Examples, FAQs
Rules of Fair Practice: Meaning, Prohibited💟 Conduct, Penalties
Warehouse Team Meeting
Master-Servant Rule: Meaning, Overview, Examples
Regulation EE: What It Is, How It Works, FAQs
Aerial view of business people in a meeting with papers and a laptop on the table
Rule 10b-6: Meaning, History, Replacement
United States Federal Reserve building, Washington DC, USA
Regulation K: What iꦚt is,🍬 How it Works, Specific Details
Judge Holding Documents
Abeyance Order: What it is, How it Works, Example
What are the 𝄹requirements for being a Public Limited Company?
Volcker Rule: What It Means, How It Works