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 Regulation A? Definition, Update, Docu🔯menation, and Tiers
Rule 10b5-1
ཧRule 10b5-1 Definition, How It Works, SEC🐓 Requirements
Volcker Rule: A federal regulation that generally prohibits banks from conducting certain investment activities.
Volcker Rꩲule: Definition, Purposeꦯ, 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 Contꦦroversy
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 Finඣancial Services Sector?
Real estate developers stand in an empty commercial space and consider the options for their project, taking zoning ordinance into account.
Zཧoning Ordinance: Definition, Types of Regulations, Pros and Cons
Close-Up Of Stock Market Data On Digital Display
SEC Rule 1🐓44: Definition, Holding Periods🌳, and Other Rules
Regulation W: A Federal Reserve System rule limiting certain transactions between banks and their affiliates.
Regulat🧸ion 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 1✅44A: Definitꦚion, What It Allows, and Criticism
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 Role in 🎃Securities Fraud
Businessperson in a suit with a gavel and mini-scale of justice nearby.
Regulation Best൲ Interest (BI): Definition, Broker Obli🌟gations
𒁃Regulation SHO: Definition, What It Regulates, an💃d Requirements
What Was Rule 48?
U.S. Secutities and Exchange Commission headquarters
Regulation Fair Disclosure (Reg FD): Definition, Transpar♎ency
Habendum Clause: What it Means, How it Works
Businessman was beaten spit out coins
Civil Money Penalty (CMP): What it is, How it 🐼Wor🐲ks
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.
Mᩚᩚᩚᩚᩚᩚ⁤⁤⁤⁤ᩚ⁤⁤⁤⁤ᩚ⁤⁤⁤⁤ᩚ𒀱ᩚᩚᩚajor Regulations Following 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, Penal💦ties
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 it is, How it Work𝄹s, S🦄pecific Details
Judge Holding Documents
Abeyance Order: What it is, How it Works, Example
What are the requirementsꦫ for being a Public Limited Company?
Volcker Rule: What It Means, How It Works