Law

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

FAQ Featured Articles Investors Primer Securities Law Dictionary

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

Law

What is a Securities Lawyer

A securities lawyer is a legal professional who specializes in securities law, which governs the issuance, sale, and trading of securities, such as stocks, bonds, and other financial instruments. Securities lawyers assist clients in navigating the complex regulations and legal requirements related to securities offerings, compliance, and enforcement. Here are […]

Regulation BI
Law

The History of US Securities Laws

Introduction The United States securities laws have played a crucial role in regulating the financial markets, protecting investors, and ensuring the integrity of the securities industry. These laws have evolved over time in response to various financial crises, fraudulent activities, and market manipulations. This essay will explore the history of […]

Securities and Exchange Commission
Law News

SEC Proposes to Enhance Private Fund Investor Protection

The Investment Advisers Act of 1940 The Act regulates investment advisers – firms and individuals compensated for advising others about securities investments. The Act requires such advisers to register with the SEC and conform to regulations to protect investors. Since the Act was amended in 1996 and 2010, generally, only […]

Securities and Exchange Commission
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 […]