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Stockbrokers And Its Regulations: An Analysis


 


Aesha Roy, B.A.LL.B. (H), Amity University Kolkata

Adisri Roy, B.A.LL.B. (H), Amity University Kolkata


ABSTRACT


Brokers are an invaluable asset to the economy as they assist traders to purchase and vend securities. They are heavily shielded by a set of regulations which aim to keep their operations accountable, safe, and clear, hoping to enhance trust and integrity. Here in this article, we will notice the primary duties of stock brokers, the institutions that monitor their activities and the laws that govern their operations. It also looks at the recent development in stock brokerage regulations, the effect of technology innovation and the strict enforcement measures. Investors and industry professionals need to understand these regulations in order to navigate the ever-changing world of financial markets.


Keywords: Stock brokers, securities, investors, regulations, financial market.



Indian Journal of Law and Legal Research

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Abbreviation: IJLLR

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ISSN: 2582-8878

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Website: www.ijllr.com

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Accessibility: Open Access

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License: Creative Commons 4.0

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Submit Manuscript: Click here

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Licensing: ​

 

All research articles published in The Indian Journal of Law and Legal Research are fully open access. i.e. immediately freely available to read, download and share. Articles are published under the terms of a Creative Commons license which permits use, distribution and reproduction in any medium, provided the original work is properly cited.

 

Disclaimer:

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The opinions expressed in this publication are those of the authors. They do not purport to reflect the opinions or views of the IJLLR or its members. The designations employed in this publication and the presentation of material therein do not imply the expression of any opinion whatsoever on the part of the IJLLR.

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