Chapter 8

Overview of Securities Regulation

Jeffrey H. Matsuura


Securities are a range of financial instruments including stocks, bonds, and derivatives. They represent funding provided by investors to enable third parties to operate businesses for profit. Owners of securities do not perform the work of operating the business, but instead provide funds necessary for the business and receive financial return from the business for their investment. Securities are governed by an active and extensive set of regulations around the world. Under some circumstances, virtual currencies fall within the regulatory oversight of securities regulators. The primary goal of securities regulation is protection of the integrity of the investments and markets associated with all securities.

Total Pages: 65-66 (2)

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