Investors

Investors News

Computer Guru Gets SEC Asset Freeze

The SEC has very strong enforcement power over those who it believes violated, or are violating, the federal securities laws. Brent Kovar, who has had prior run-ins with the securities law, and his mom, were the subject of an emergency action, a temporary restraining order and asset freeze to halt […]

Investors Primer

What is a Ponzi Scheme

A seclaw.com/glossary/ponzi-scheme/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Ponzi scheme is a fraudulent investment operation where the operator, an individual or organization, pays returns to its investors from new capital paid to the operators by new investors, rather than from profit earned by the operator. Operators of Ponzi schemes usually entice new investors by offering higher returns […]

Corp Finance Investors Primer

Reverse Stock Splits Explained

New investors are often confused by a reverse seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>stock split. Simply put, a reverse stock split reduces the number of outstanding shares of the company, thereby increasing value of the individual shares. Think of it as the reverse of the typical stock split, where an investor receives X number of […]

Whistleblower independent analysis
Brokers Corp Finance Investors Primer Private Placements

Can a Non-Citizen Be An Accredited Investor?

There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are accredited investors. Rule 501 of Regulation D defines the term. For individuals, accredited investors include: Any director, executive officer, or general partner of the issuer of the securities being offered or sold, or any director, executive officer, […]

Brokers Compliance Corp Finance Investors Law

What is Blue Sky Law?

The term seclaw.com/glossary/blue-sky-law/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Blue Sky Law refers to the laws and regulations of the individual states regarding the registration of securities, brokerage firms and investment advisers. While the most well known securities laws are the federal laws, each state has its own rules and regulations. The blue sky laws of each […]

insider trading
Investors News

Thinking of Day Trading?

A new article from the Securities and Exchange Commission is directed at investors and makes a couple of great points. Day trading is serious business and not something you just dabble in for fun, particularly if you are using leveraged investment strategies or trading leveraged products. Day trading involves actively […]