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Financial Law Explained

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Financial Law Explained
What is the purpose of financial law? Financial laws are to protect us from things like fraud, identity theft, and to give us the information so that we can make good decisions about our money investments. Learn all about bank laws, securities, commodities, the job of a money manager and more today!

Questions Answered by our Experts

Greg Heller
Greg Heller-Financial Consultant
Meet the Expert 
Financial Law Basics 
  1. Greg Heller
  2. What is 'financial law'? 
  3. Why are there so many different types of financial companies? 
  4. What are the purposes of financial laws? 
  5. Why are so many companies offering all types of financial services? 
  6. Does it matter where I do my banking or buy my insurance? 
  7. How can I avoid being taken advantage of by financial services companies? 
  8. What is 'financial fraud'? 
Portfolio Management 
  1. Greg Heller
  2. What is a portfolio and how does it work? 
  3. What is 'portfolio management'? 
  4. How does a money manager determine appropriate asset allocation? 
  5. How does a money manager determine the risk analysis for a portfolio? 
  6. How does a money manager determine goals and objectives for portfolio managerment? 
  7. How does a money manager determine the best allocation for a portfolio according to risk? 
  8. What is a 'bond'? 
  9. What is a 'stock'? 
  10. What is a 'mutual fund'? 
Banking Laws 
  1. Greg Heller
  2. Who regulates banks? 
  3. Are all deposits insured? 
Securities 
  1. Greg Heller
  2. What are the federal securities laws? 
  3. What is the 'Securities Act'? 
  4. What is the 'Exchange Act'? 
  5. What is the 'Investment Company Act'? 
  6. What is the 'Advisors Act'? 
  7. Are all companies subject to the securities laws? 
  8. What are 'blue sky rules'? 
  9. What is a 'prospectus' and how does it help investors? 
  10. What if a prospectus contains false or misleading information? 
  11. Is it common for a prospectus to contain false or misleading information? 

Popular Questions

  • Why are there so many different types of financial companies?
  • How can I avoid being taken advantage of by financial services companies?
  • What is 'portfolio management'?
  • How does a money manager determine goals and objectives for portfolio managerment?
  • Who regulates banks?
  • What if a prospectus contains false or misleading information?
  • Is it common for a prospectus to contain false or misleading information?
  • What action should I take if I believe a company has defrauded me?
  • If I've sold all my stock in a company being sued, can I still be a class member?
  • What are the most common causes of disputes between shareholders?
  • What recourse do I have if I have a dispute with my commodities broker?
  • Can I find out about insiders' purchases and sales of company securities?
Shareholders And Class Actions 
  1. Greg Heller
  2. What action should I take if I believe a company has defrauded me? 
  3. What is a 'securities class action'? 
  4. What is a class period' in a securities case and how is it determined? 
  5. How long does it usually take to settle or resolve a securities class action? 
  6. If I've sold all my stock in a company being sued, can I still be a class member? 
  7. How can I learn about a class action lawsuit? 
  8. What are the most common causes of disputes between shareholders? 
  9. What steps can a corporation take to minimize the likelihood of a shareholder's dispute? 
Commodities 
  1. Greg Heller
  2. Who regulates the business of commodities futures and options? 
  3. What disclosures must be provided to me before opening a futures account? 
  4. What recourse do I have if I have a dispute with my commodities broker? 
  5. What is a 'margin' and how is it determined? 
  6. What is a 'margin call'? 
  7. What if I am unable to pay a 'margin call'? 
Insider Trading 
  1. Greg Heller
  2. What is 'insider trading'? 
  3. Is insider trading illegal? 
  4. Is there any special statute that defines 'insider trading'? 
  5. Can I find out about insiders' purchases and sales of company securities? 

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