Securities Market

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October 4, 2023 2 min read Definitions
NSMIA: Regulatory Shifts in U.S. Securities Markets
Finance Law Securities Regulatory Compliance NSMIA SEC Investment Law Federal Regulation Securities Market
Dive deep into the nuances of the National Securities Markets Improvement Act (NSMIA) of 1996, detailing its impacts on federal and state securities regulations.
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October 4, 2023 3 min read Definitions
Role of a Book Runner in Finance
Finance Investment Banking Securities Book Runner Underwriting IPOs Securities Market Investment Banking
Explore the pivotal role of a book runner in handling new securities issues, coordinating underwriting syndicates, and shaping financial markets.
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October 4, 2023 3 min read Definitions
Dealers in the Financial Markets: Roles and Regulations
Finance Investment Regulations Dealers Securities Market Financial Regulation SEC Market Liquidity
Explore the pivotal role of dealers in the financial markets, how they differ from brokers and traders, and the regulations that govern them.
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October 3, 2023 2 min read Definitions
Securities and Exchange Board of India (SEBI): Roles, Powers, and Structure
Finance Regulatory Bodies Securities Market SEBI India Financial Regulation Securities Market Government Agency
Explore the comprehensive guide to the Securities and Exchange Board of India (SEBI), its functions, the legislative framework, and its pivotal role in regulating the Indian securities markets.
Read more about Securities and Exchange Board of India (SEBI): Roles, Powers, and Structure.
October 3, 2023 3 min read Definitions
Securities and Exchange Commission (SEC): Roles and Responsibilities
Finance Government Regulations Investing SEC Securities Market Investor Protection Financial Regulations Market Integrity
Explore the essential functions of the U.S. Securities and Exchange Commission (SEC), how it protects investors, maintains market integrity, and its impact on financial regulations.
Read more about Securities and Exchange Commission (SEC): Roles and Responsibilities.

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