Are options less regulated than equities?

Discussion in 'Trading' started by Risepoint1879, Feb 11, 2019 at 6:27 PM.

  1. Equities have alot of regulations, requiring licenses to trade with investments from other people. As well as only allowing set fees, not profit splits.

    Are options more free from these restrictions and license requirements(Series 7 etc)?
     
  2. Robert Morse

    Robert Morse Sponsor

    They have the same requirements as they are both securities. State laws, FINRA and SEC.

    I did not really follow the rules you stated.
     
    Stockolio likes this.