Law

This archive contains all of the articles, posts and links at the site in the Law category.

Securities Law Dictionary

Churning – Definition and Cases

Churning – in a churning claim, the customer alleges that the broker purchased and sold securities solely to generate commissions, without regard to the customer’s investment objectives or goals. In the typical churning case, the customer must prove: 1) that the broker controlled the account; 2) that the trading was […]

Law

Securities Regulations, Statutes, Laws and Rules

Federal Law | Commentary | State Law | The securities regulations and laws in the United States are a complex web of multiple and overlapping statutes and regulations from over 52 different regulatory agencies. Here we have provided links to the major federal statutes and rules. Each state has its own rules, […]

FAQ

What is a security?

A security is a form of ownership in an entity.While some believe that in order to be a security the instrument must be traded on a  market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and […]