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Investment Regulation

In this section we’ll review the different areas of oversight governing investments.

What Does the SEC Do?

The SEC (Securities Exchange Commission) serves to register and regulate investment companies.  They are a US Government agency, and enforce laws pertaining to the financial industry.

Is FINRA a Government Agency?

No, FINRA (Financial Industry Regulatory Authority, Inc.) is an independent organization.  They are a non profit group.  Authorized by Congress, FINRA’s job is to protect investors.

Can I Write Off Stock Losses?

If you lose more than you gain through investing, this is called a capital loss.  You can reduce your tax liability by writing off a capital loss, but only to a certain extent.