<p>This document, published by the International Organization of Securities Commissions, states three objectives and describes thirty-eight principles of securities regulation:</p>
<p><a href="https://www.iosco.org/library/pubdocs/pdf/IOSCOPD561.pdf" rel="nofollow noreferrer">https://www.iosco.org/library/pubdocs/pdf/IOSCOPD561.pdf</a></p>
<p>Objectives</p>
<blockquote>
<p>Protect investors</p>
</blockquote>
<blockquote>
<p>ensuring that markets are fair, efficient and transparent;</p>
</blockquote>
<blockquote>
<p>reducing systemic risk.</p>
</blockquote>
<p>The Securities and Exchange Commission (SEC) is the official federal regulator in the United States. Administrative law regulations are made in a context of procedures relating to the Federal Register and/or Code of Federal Regulations. This is a Guide to the Rule Making Process:</p>
<p><a href="https://www.federalregister.gov/uploads/2011/01/the_rulemaking_process.pdf" rel="nofollow noreferrer">https://www.federalregister.gov/uploads/2011/01/the_rulemaking_process.pdf</a></p>
<p>North American Securities Administrators Association (NASAA) has much information about its efforts to solve problems under the objectives published on this site:</p>
<p><a href="https://www.nasaa.org/" rel="nofollow noreferrer">https://www.nasaa.org/</a></p>
<p>Rules established by government authority or customs with commercial authority are efforts to solve a particular social problem, procedures to solve those types of problems, and procedures to monitor behavior and enforce rules. Your research would be based on comparisons of these elements in unique case studies or contexts regardless of the information sources which should be available to the public.</p>

CC BY-SA 4.0
2020-09-24T11:21:00.537Z
2020-09-24T11:21:00.537Z
SystemTheory
<ol>
<li><p>Different stock exchanges (for example, NYSE vs KRX) have similar but different regulations overall. Each exchange has different concerns and each exchange has a different approach to handle problems like volatility, etc.</p>
<ul>
<li><p>How can I learn more about the thought process that goes into making policies/regulations to handle such problems?</p>
</li>
<li><p>Is there a specific discipline that studies financial exchanges and their regulations? Market Economics? I think that's too broad a term.</p>
</li>
<li><p><strong>Bonus question:</strong> How do governments decide when to intervene on bad regulations/policies made by <em>financial exchange marketplaces</em> (? by this I mean: stock markets, foreign exchange markets, etc)</p>
</li>
</ul>
</li>
<li><p>Maybe I don't have a clear question. In that case, can you provide some <em>relevant</em> introductory references or keywords to research?</p>
</li>
<li><p>If my question is not appropriate here, can you suggest where else I can get answers?</p>
</li>
</ol>

<stock-market><books>
Books and resources on how policies/regulations are made on exchanges like NYSE, NASDAQ, LSE, etc?
user1857492
# Books and resources on how policies/regulations are made on exchanges like NYSE, NASDAQ, LSE, etc?

(Asked by: username_0 on 2020-09-24)

1. Different stock exchanges (for example, NYSE vs KRX) have similar but different regulations overall. Each exchange has different concerns and each exchange has a different approach to handle problems like volatility, etc.

   * How can I learn more about the thought process that goes into making policies/regulations to handle such problems?
   * Is there a specific discipline that studies financial exchanges and their regulations? Market Economics? I think that's too broad a term.
   * **Bonus question:** How do governments decide when to intervene on bad regulations/policies made by *financial exchange marketplaces* (? by this I mean: stock markets, foreign exchange markets, etc)
2. Maybe I don't have a clear question. In that case, can you provide some *relevant* introductory references or keywords to research?
3. If my question is not appropriate here, can you suggest where else I can get answers?

**Tags:** stock-market, books

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## 1 answers

### Answer by username_1 on 2020-09-24. Score: 1

This document, published by the International Organization of Securities Commissions, states three objectives and describes thirty-eight principles of securities regulation:

<https://www.iosco.org/library/pubdocs/pdf/IOSCOPD561.pdf>

Objectives

> Protect investors

> ensuring that markets are fair, efficient and transparent;

> reducing systemic risk.

The Securities and Exchange Commission (SEC) is the official federal regulator in the United States. Administrative law regulations are made in a context of procedures relating to the Federal Register and/or Code of Federal Regulations. This is a Guide to the Rule Making Process:

<https://www.federalregister.gov/uploads/2011/01/the_rulemaking_process.pdf>

North American Securities Administrators Association (NASAA) has much information about its efforts to solve problems under the objectives published on this site:

<https://www.nasaa.org/>

Rules established by government authority or customs with commercial authority are efforts to solve a particular social problem, procedures to solve those types of problems, and procedures to monitor behavior and enforce rules. Your research would be based on comparisons of these elements in unique case studies or contexts regardless of the information sources which should be available to the public.


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