Blog by PriyaSahu

Foreign investors have access to many global stock markets, including India's, but there are specific regulations they must adhere to when investing in foreign markets. The rules vary based on the country of investment, the type of financial instruments, and the investment's purpose. For Indian inv...

The MiFID II regulation, short for the Markets in Financial Instruments Directive II, has significantly reshaped the way European stock markets operate. Introduced in January 2018, MiFID II aims to enhance transparency, improve investor protection, and ensure greater market efficiency across the Eu...

The New York Stock Exchange (NYSE) plays a critical role in stock market compliance. As one of the largest and most well-known stock exchanges in the world, the NYSE ensures that its listed companies follow the regulations required by the Securities and Exchange Commission (SEC) and other governing...

Anti-money laundering (AML) regulations in stock trading are critical rules put in place to prevent criminals from using the stock market to launder money. These regulations are designed to ensure that the stock market is not used for illegal activities such as money laundering or terrorist financi...

The Commodity Futures Trading Commission (CFTC) plays a crucial role in regulating and overseeing the trading of commodity futures and options markets. It ensures that these markets operate fairly, efficiently, and transparently, while protecting investors from fraud, manipulation, and systemic ris...

Hedge funds are investment vehicles that pool capital from accredited investors to generate high returns, often through aggressive and complex investment strategies. While hedge funds have the potential to offer impressive returns, they also come with risks. A critical question for many investors i...

An Initial Public Offering (IPO) is a critical event for any company, marking the first time it offers its shares to the public. Whether you're an investor or a business owner, understanding the requirements for an IPO is essential. This blog will explain the key steps and requirements for a compan...

Penny stocks are low-priced shares of small companies that typically trade for under ₹10 per share. While they can offer significant upside potential, they are also highly speculative and come with considerable risk. But how are these stocks regulated, and what protections are in place for investor...

The Sarbanes-Oxley Act (SOX) is a U.S. federal law that was enacted in 2002 to protect investors from fraudulent financial reporting by corporations. It was a direct response to the major corporate scandals like Enron and WorldCom, which shook investor confidence in the early 2000s. SOX imposes str...

Understanding the difference between a public and a private company is crucial for investors, as it affects how the company operates, is regulated, and how accessible the company’s shares are to the public. Here's a breakdown of the key differences:

1. Ownership and Shareh...

If you're an investor, staying compliant with stock market regulations is essential to avoid legal issues and safeguard your investments. The good news? It's easier than you think! Here's a simple guide on how to stay on the right side of the law while investing in the stock market.

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a significant piece of legislation passed in 2010 to reform the financial industry in the United States after the 2007-2008 global financial crisis. Its primary goal was to prevent another financial disaster by enhancing regulations a...

Stock market regulations are essential to ensure fairness, transparency, and protection for investors. However, the way in which these regulations are applied can vary significantly from one country to another. In this article, we’ll explore how stock market regulations differ across various countr...

The Federal Reserve (often referred to as the Fed) plays a significant role in shaping the U.S. economy and the stock market. As the central bank of the United States, its policies can have far-reaching impacts on interest rates, inflation, employment, and financial markets. In this article, we wil...

Short selling is a trading strategy used by investors to profit from the decline in the price of a stock or other securities. However, it comes with significant risks and is governed by strict rules to protect market integrity and prevent abuses. In this article, we’ll explore the rules surrounding...

Market manipulation is a term used to describe illegal activities that are designed to artificially influence the price or behavior of a financial market. It is a serious issue because it undermines the integrity of the market and can lead to substantial financial losses for investors. In this arti...

The Financial Industry Regulatory Authority (FINRA) plays a vital role in maintaining the integrity and transparency of the financial markets. It is a private, non-profit organization authorized by the U.S. government to regulate and oversee brokerage firms, securities brokers, and other financial ...

Investing in the stock market can be a great way to build wealth over time. However, it is important to understand the tax implications of stock market transactions. In India, the tax treatment of stock market transactions is governed by the Income Tax Act, and the taxes depend on whether the gains...

Insider trading is a term often heard in discussions around stock market regulations. It refers to the illegal practice of trading stocks or other securities based on non-public, material information about a company. Understanding insider trading and why it’s illegal is crucial for investors, as it...