Tag: Securities
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Broker Dealer
Broker Dealer in the United States Broker Dealer Definition See Brokers in this legal Encyclopedia and below. Securities Dealers Securities dealers buy and sell stock for themselves. They are different from brokers, who are in the business of selling stock to investors, although […]
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Federal Securities Law Reporter
Federal Securities Law Reporter in the United States CCH’s Federal Securities Law Reporter brings together most of the materials essential for the practice of securities law. As such, it is probably the single most useful individual research tool for securities law research. The FLSR is […]
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Federal Securities Law Reporter
Federal Securities Law Reporter in the United States CCH’s Federal Securities Law Reporter brings together most of the materials essential for the practice of securities law. As such, it is probably the single most useful individual research tool for securities law research. The FLSR is […]
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Uniform Securities Act
Uniform Securities Act in the United States The National Conference of Commissioners on Uniform State Laws The National Conference of Commissioners on Uniform State Laws (NCCUSL) provides states with non-partisan, drafted legislation that brings clarity and stability to critical areas of […]
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Uniform Securities Act
Uniform Securities Act in the United States The National Conference of Commissioners on Uniform State Laws The National Conference of Commissioners on Uniform State Laws (NCCUSL) provides states with non-partisan, drafted legislation that brings clarity and stability to critical areas of […]
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No-Action Letters
No-Action Letters in the United States Finding No-Action Letters (Securities Law) Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. Not all sources listed on this entry contain all No-Action letters issued by the SEC, but the list on this […]
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No-Action Letters
No-Action Letters in the United States Finding No-Action Letters (Securities Law) Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. Not all sources listed on this entry contain all No-Action letters issued by the SEC, but the list on this […]
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Interpretive Releases
Interpretive Releases in the United States Finding Interpretive Releases Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. Not all sources listed on this entry contain all interpretive releases issued by the SEC, but the list on this page […]
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State Blue Sky Laws
State Blue Sky Laws in the United States Background In Hall vs. Geiger-Jones Co., 242 U.S. 539 (1917), in relation to 3 cases dealing with the constitutionality of state securities regulations. Justice McKenna wrote that the name that is given to the law indicates the evil at which it is […]
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Securities Regulation
Securities Regulation in the United States Finding Securities Rules/Regulations Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. There are several official and unofficial sources for SEC’s rules and regulations. Official Sources The […]
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Securities Regulation
Securities Regulation in the United States Finding Securities Rules/Regulations Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. There are several official and unofficial sources for SEC’s rules and regulations. Official Sources The […]
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Litigation Releases
Litigation Releases in the United States Finding Litigation Releases Note: Be sure to check the currency, coverage, and status (official or unofficial) of all sources. Not all sources listed on this page contain all litigation releases issued by the SEC, but the list on this page provides […]
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Securities and Exchange Commission
Securities and Exchange Commission in United States Securities and Exchange Commission Definition The SEC is responsible for regulating the securities industry. In this capacity, they produce a wide array of materials. This entry does its best to tell you how to get the following SEC […]
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NASDAQ
NASDAQ in the United States The NASDAQ Stock Market is a U.S. stock exchange. The NASDAQ began began trading on February 8, 1971, listing mostly over-the-counter (OTC) stocks. The NASDAQ was originally owned and operated by the National Association of Securities Dealers (NASD). The NASDAQ […]
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Federal Securities Laws
Federal Securities Laws in the United States Legal Materials Federal securities laws are codified in the U.S.C. (see United States Code). There are many securities-specific tools that can make securities research a lot faster, easier and possibly more accurate. U.S. Federal Law: The CCH […]