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Information relating to this topic has been arranged in the following groups:
General Questions
FAQs
What will happen to my stock or bond in a business bankruptcy?
Well can I at least get a tax deduction for worthless securities?
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?
What are the federal securities laws?
What do these federal securities laws cover?
Are there also state securities laws?
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 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
FAQs
What is a securities class action?
What is a ‘class period’ in a securities case and how is it determined?
How are the attorneys paid in securities class action cases?
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 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
FAQs
Are all companies subject to the securities laws?
Can I learn about insiders' purchases and sales of company securities?
Are there state law requirements in addition to federal ones?
What are the federal securities laws?
What do these federal securities laws cover?
Are there also state securities laws?
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
FAQs
What is fraud?
Suppose a broker defrauds me?
Suppose a company defrauds me?
Are all companies subject to the securities laws?
Insider Trading
FAQs
What is ‘insider trading’?
Is insider trading illegal?
Is there any special statute that defines ‘insider trading’?
Can I learn about insiders' purchases and sales of company securities?
IPOs
FAQs
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’?
What is a ‘hot issue’?
What is ‘spinning’?
Should my company ‘go public’?
How does a business register a public offering?
If a company becomes public, what disclosures must it regularly make?
Prospectus
FAQs
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?
If a company becomes public, what disclosures must it regularly make?
Okay, is there a simplified prospectus?
Proxy Statements
FAQs
What are the ‘proxy statements’ I get from companies?
Public Offering
FAQs
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
FAQs
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
FAQs
Can I raise money without all these complexities?
If I want to sell securities only locally, is the sec involved?
Securities Arbitration
FAQs
Securities Arbitration - Protecting Investors From Broker Misconduct
Securities Arbitration: Understanding The Process
How does one start securities arbitration?
Tax Implications
FAQs
What will happen to my stock or bond in a business bankruptcy?
Well can I at least get a tax deduction for worthless securities?
How is stock or property valued for gift tax purposes?
What happens if gifted stock is then sold?
Tender Offer
FAQs
What is a tender offer?
Topics Related To Securities Law
»
Financial Law
»
Banking Law
»
Broker Disputes
»
Commodities Law
»
Investment Terms
»
Raising Capital
»
Securities Law
»
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