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Regulatory Goals of the Security Laws

5. What are the regulatory goals of security laws?

The regulatory goals or purpose of the securities laws include:

•    preventing manipulation of the securities market;

•    full disclosure of “material information” to stakeholders;

•    preventing fraud; and

•    leveling the playing field between insiders of a company and investors.

Each of these regulatory goals are not independent. Fairness and the prevention of deceit underline each objective.

•    Discussion: How do you feel about these securities law objectives? Are there any additional objectives that should be achieved under the securities laws?

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