Title: Microprudential supervisory data in the USA: Securities and derivatives
Abstract: This chapter provides an overview of microprudential data collection and supervision in the securities industry. The origins and development of securities regulation can be found elsewhere in this Handbook. Securities regulation was enacted in the USA to protect individual investors from unfair practices and potential abuses in the public markets, with the foundation of that protection being transparency in the markets, through mandatory disclosures. The concept is two pronged: one, that the act of disclosure itself makes the one disclosing more honest, and two, that by having relevant information available, an investor can make a more informed decision before making an investment. The model developed by the USA has been followed in many other countries.
Publication Year: 2014
Publication Date: 2014-01-09
Language: en
Type: book-chapter
Indexed In: ['crossref']
Access and Citation
AI Researcher Chatbot
Get quick answers to your questions about the article from our AI researcher chatbot