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An Introduction to Trading in the Financial Markets: Market Basics by R. Tee Williams

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Introduction

Regulation is highly dependent on national law and custom; however, most regulation in the financial markets has evolved from self-regulation. Self-regulation has developed within markets as members and participants were forced to enact rules and procedures to govern activities. In many cases, countries have developed national regulation to correct problems that have occurred as a result of financial panics and crises, to promote the national economy, and to protect citizens and organizations that invest within the country. In countries in which there are strong political subdivisions such as the interstate divisions in the United States and provinces in Canada, there is also regulation on the state/province level.

General regulation ...

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