Legal
In the wake of the stock market crash of 1929, Congress decided that something needed to be done to rein in our unregulated capital markets, with a view to preventing another similar disaster. The first laws passed were contained in the Securities Act of ...
The Laws That Impact The Securities Markets
25th June 2015In the wake of the stock market crash of 1929, Congress decided that something needed to be done to rein in our unregulated capital markets, with a view to preventing another similar disaster. The first laws passed were contained in the Securities Act of ...
Legal
Private companies going public seek to raise capital for a variety of reasons. This capital may be sought from the sale of equity ownership of the corporate entity or debt such as a loan. Frequently, loans are considered to be securities and as such, are ...
Promissory Notes 101
18th June 2015Private companies going public seek to raise capital for a variety of reasons. This capital may be sought from the sale of equity ownership of the corporate entity or debt such as a loan. Frequently, loans are considered to be securities and as such, are ...
Legal
On July 10, 2013, the Securities and Exchange Commission (the "SEC" or "Commission") adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the "Securities Act") to implement Section 926 of the Dodd-Frank Wal...
Rule 506 - Not for Bad Actors Anymore
17th June 2015On July 10, 2013, the Securities and Exchange Commission (the "SEC" or "Commission") adopted amendments to rules promulgated under Regulation D of the Securities Act of 1933, as amended (the "Securities Act") to implement Section 926 of the Dodd-Frank Wal...
Legal
Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security. In recent years, the SEC and Justice Department have brought an increasing number of cases alleging secu...
Stock Scalping
08th April 2015Stock scalping refers to the illegal and deceptive practice of recommending that others purchase a security while secretly selling the same security. In recent years, the SEC and Justice Department have brought an increasing number of cases alleging secu...
Legal
OTCMarkets Group operates the world's largest electronic inter-dealer quotation system for broker-dealers to trade unlisted securities. The OTCMarkets Group categorizes issuers into three tiers to fit the wide spectrum of OTC issuers. The OTC Pink Tier...
OTC Pink Sheets 101
08th April 2015OTCMarkets Group operates the world's largest electronic inter-dealer quotation system for broker-dealers to trade unlisted securities. The OTCMarkets Group categorizes issuers into three tiers to fit the wide spectrum of OTC issuers. The OTC Pink Tier...