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Securities Law
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General Questions

FAQs

What is an ‘ipo’?

Can I raise money without all these complexities?

What is a ‘hot issue’?

If I want to sell securities only locally, is the sec involved?

What is ‘spinning’?

Can I sell securities only to wealthy investors?

Suppose a broker defrauds me?

Is there a limit on the number of investors I may approach?

Suppose a company defrauds me?

Okay, is there a simplified prospectus?

What is ‘insider trading’?

I heard about a ‘504 offering’. What is that?

Is insider trading illegal?

Are there state law requirements in addition to federal ones?

Is there any special statute that defines ‘insider trading’?

What are the federal securities laws?

Are all companies subject to the securities laws?

What do these federal securities laws cover?

Should my company ‘go public’?

Are there also state securities laws?

What will happen to my stock or bond in a business bankruptcy?

How does a business register a public offering?

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?

Well can I at least get a tax deduction for worthless securities?

What should a prospectus include?

I want to purchase penny stocks. Should I invest?

What is a "security?"

If a company becomes public, what disclosures must it regularly make?

What is a shelf registration?

What is a prospectus and how does it help me?

What are the ‘proxy statements’ I get from companies?

Does the sec approve companies' offerings of securities or prospectuses?

Can I learn about insiders' purchases and sales of company securities?

Suppose the prospectus contains false or misleading information?

What is a tender offer?

Related Information
» General Questions	» Class actions
» Federal and state regulation	» Fraud
» Insider trading	» IPOs
» Prospectus	» Proxy statements
» Public offering	» Registration exemptions
» SEC filings	» Securities Arbitration
» Tax implications	» 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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