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Blue Sky laws empower individual investors to take legal action if they fall victim to securities fraud. Although the specifics of these laws differ across states, their common purpose remains consistent: to ensure transparency in the securities market and safeguard investors from deceptive practices....
The SEC, or Securities and Exchange Commission, is an independent government agency responsible for ensuring the integrity of the capital markets in the United States. The Securities Act of 1933 was created specifically to protect investors and increase transparency in financial disclosures for securities...
The Securities and Exchange Commission (SEC) is a Federal agency in the United States that regulates the sale and trade of...
The SEC rule states that certain climate-related disclosures may involve estimates and assumptions based on future events and are therefore considered forward-looking statements. This means that such statements would be protected under the safe harbor provisions of the Private Securities Litigation Reform...
Topic 1: Hot Topics on SEC Executive Compensation Disclosures; Topic 2: State-Run Retirement Plans: What States Want and What Labor Will AllowAndrew C. Liazos
This change is due to the T+1 settlement rule—a rule set by the United States Securities and Exchange Commission (SEC) for transactions, which stipulated that trade transactions settle no more than a day after they occur. In some cases, the ex-dividend date actually occurs after the ...
These two cryptos are undoubtedly the best in their asset class. To the surprise of many, the SEC greenlit spot Ether ETFs this year, and a handful of them began trading in late July. ETH is up 70.2% through Dec. 12. Read: The History of Bitcoin Solana (SOL) Like Ethereum, Solan...
Bars and suspensions: The SEC can bar or suspend individuals from working in the securities industry if they are found to have committed serious violations. This is often meant to be a career death penalty for those against whom such actions are brought, though that's not always the case. ...
Although the term "securities" is commonly associated with stocks, bonds, and similar instruments, the U.S. Supreme Court gives the term a much broader interpretation. In the case of Howey vs. SEC (1946), the court found that the plaintiff's sale of land and agricultural services constituted...