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What do these federal securities laws cover? What will happen to my stock or bond in a business bankruptcy? Are there also state securities laws? What is a ‘security’? What is a prospectus and how does it help me? Does the sec approve companies' offerings of securities or prospectuses? Suppose the prospectus contains false or misleading information? What is an ‘ipo’? What is a ‘hot issue’? What is ‘spinning’? Suppose a broker defrauds me? Suppose a company defrauds me? What is ‘insider trading’? Is insider trading illegal? Is there any special statute that defines ‘insider trading’? Are all companies subject to the securities laws? Should my company ‘go public’? How does a business register a public offering? What should a prospectus include? If a company becomes public, what disclosures must it regularly make? What are the ‘proxy statements’ I get from companies? Can I learn about insiders' purchases and sales of company securities? What is a tender offer? Can I raise money without all these complexities? If I want to sell securities only locally, is the sec involved? Can I sell securities only to wealthy investors? Is there a limit on the number of investors I may approach? Okay, is there a simplified prospectus? I heard about a ‘504 offering’. What is that? Are there state law requirements in addition to federal ones? Well can I at least get a tax deduction for worthless securities? I am leaving my company where I have vested 400 stock options at $15 a piece. Though we are not publicly traded, our stocks are selling to private investors at $30. If I buy my shares ($6k total), would my company be obligated to buy those buy at $30 each? Could I bargain and sell them back for less than $30 each? Do they have any legal obligations to buy them back if I do not want them and at what price (current market)? Or would I have to wait until they are a publicly held company? I want to purchase penny stocks. Should I invest? What is a shelf registration? Class actions What is a securities class action? What is a ‘class period’ in a securities case and how is it determined? How long does a securities class action usually take to settle or resolve? Can I sell my stock in the company being sued and still be a class member? How are the attorneys paid in securities class action cases? How can I find out about a class action lawsuit? I own stock in a company that has had class action lawsuits filed against it by several law firms. How do I get involved? Federal and state regulation What are the federal securities laws? What do these federal securities laws cover? Are there also state securities laws? Are there state law requirements in addition to federal ones? Are all companies subject to the securities laws? Can I learn about insiders' purchases and sales of company securities? Where can I get a list of companies that are being probed or investigated by the sec for accounting fraud? Will the sec release information on a pending investigation of a company? Fraud What is fraud? Are all companies subject to the securities laws? Suppose a broker defrauds me? Suppose a company defrauds me? Insider trading What is ‘insider trading’? Is there any special statute that defines ‘insider trading’? Is insider trading illegal? Can I learn about insiders' purchases and sales of company securities? IPOs The stock my broker sold me in an initial public offering went to zero after the sec accused the company of fraud. What are my options? What is an ‘ipo’? Should my company ‘go public’? How does a business register a public offering? If a company becomes public, what disclosures must it regularly make? What is a ‘hot issue’? What is ‘spinning’? Prospectus What is a prospectus and how does it help me? Does the sec approve companies' offerings of securities or prospectuses? Suppose the prospectus contains false or misleading information? Okay, is there a simplified prospectus? If a company becomes public, what disclosures must it regularly make? Proxy statements What are the ‘proxy statements’ I get from companies? Public offering Should my company ‘go public’? How does a business register a public offering? If a company becomes public, what disclosures must it regularly make? Registration exemptions Can I raise money without all these complexities? If I want to sell securities only locally, is the sec involved? Can I sell securities only to wealthy investors? Is there a limit on the number of investors I may approach? Okay, is there a simplified prospectus? I heard about a ‘504 offering’. What is that? SEC filings If I want to sell securities only locally, is the sec involved? Can I raise money without all these complexities? Securities Arbitration Securities Arbitration: Understanding The Process How does one start securities arbitration? Securities Arbitration - Protecting Investors From Broker Misconduct Tax implications How is stock or property valued for gift tax purposes? What happens if gifted stock is then sold? What will happen to my stock or bond in a business bankruptcy? Well can I at least get a tax deduction for worthless securities? Tender offer What is a tender offer? Get Legal Forms Download 36,000+ forms Law Forums Search over 600,000 topics and answers in our law forums.

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