Prior to the financial crisis, financial regulation was compartmentalized along lines of segmented financial instruments, but the crisis led to the revision of an outdated regulatory structure in particular as it relates to systemic risk. This chapter examines securities regulation in the United States. It looks at the coordination between the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) in regulating certain derivatives under the Dodd-Frank Act in particular as they relate to swaps. It also discusses the regulation of stocks, notes, investment contracts, and hedge funds. Finally, the chapter considers the consequences of securities violations.
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