Securities Law Dictionary

Private Placements Securities Law Dictionary

Accredited Investor Definition

Under the federal securities laws, a company may not offer or sell securities to investors without registration with the SEC</div><div class=glossaryItemBody>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.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC. However, there are a number of registration exemptions which ultimately expand the universe of potential investors. Many exemptions require that the investment offering be made only to persons who are accredited […]

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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 state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities