Law

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

Brokers Compliance Corp Finance Investors Law

What is Blue Sky Law?

The term seclaw.com/glossary/blue-sky-law/” class=”glossaryLink” data-cmtooltip=”

Blue Sky Law
A blue sky law is a state law regulating the offer and sale of securities, as well as the regulation of broker dealers and stock brokers. Though the specific provisions of these laws vary from(…)

” >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 […]

Private Placements Securities Law Dictionary

Accredited Investor Definition

Under the federal securities laws, while a company may not offer or sell securities without registration with the seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)

” >SEC, there are a number of registration exemptions. Many exemptions require that the offering be made only to persons who are accredited investors. Unlike offerings registered with the

Securities, Lawyer, Attorney
Law Primer

What is Securities Law?

Securities law refers to the body of law that relates to the financial markets. That includes the oversight of stock brokers and investment advisers, the stock exchanges themselves, the brokerage firms, the sale of securities, mergers, acquisitions and much more. In short, if it in any way involves an investment […]

Law

Attorney Barred From Appearing Before SEC

The Securities and Exchange Commission barred a New York-based attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he made false and misleading statements in corporate filings. Pursuant to Section 4C of the Securities Exchange Act of 1934 […]