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1. Regulating investments and securities in Nigeria.

2. Registration and regulations and securities exchange, capital trade points, future markets, options, and Derivative exchanges, etc.

3. Registration of securities to be offered for subscription or sale to the public.

4. Preparing guidelines and organizing training programmes.

5. Registration and regulating corporate and individual capital market operators.

6. Approval and regulations on merger and acquisition. It acts as an organ that regulates the merger and acquisition of companies.

7. Acting as a regulatory apex organization of Nigeria’s capital market; It acts as the organ that regulates the capital market.

8. Advise the minister on all the matters relating to the securities industry.

9. Prevent fraudulent and unfair trade practices relating to the securities industry.

10. Levy fees and other charges on any person for carrying out investment securities business in Nigeria.

Note: The contribution of the Nigerian capital Market towards the growth of the economy is worth commending especially through the issuance of bonds and securities for state and federal government. It has enhanced the infrastructure development of the country and long term wealth creation.

Evaluation Questions

1. Define capital market.

2. Trace the development of the Nigerian capital market from 1946 to 1999.

3. List the operator’s players in the capital market.

4. State five functions of the capital market.

5. Expand the following abbreviations with reference to the capital market; SEC; ISA; SSM.


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