Law

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

SPAC Rules
Law News

SEC Proposes to Enhance Private Fund Investor Protection

Introduction to the Investment Advisers Act of 1940 The Act regulates investment advisers – firms and indivuals who are compensated for advising others about securities investments. The Act requires such advisers to register with the SEC and conform to regulations designed to protect investors. Since the Act was amended in […]

SPAC Rules
Enforcement Law

James E. Grimes Named Chief ALJ at SEC

We are certain that Judge Grimes will be an excellent Chief ALJ, but we found it interesting, given the fact that the SEC ALJs rule in favor of the SEC in almost all of their cases that the SEC thought that including the word “impartial” in the title “SEC impartial Office […]

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 […]

securities law
Law

SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO

The Securities and Exchange Commission today charged a digital-asset entrepreneur and his company with defrauding investors in an initial coin offering (ICO) that raised more than $42 million from hundreds of investors. The SEC’s complaint alleges that from August 2017 to April 2018, Eran Eyal, founder of UnitedData, Inc. d/b/a Shopin, […]

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 seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>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 […]