Business Law

If you're looking to make a profit in the stock market, you should be aware of the laws that protect your investments. The individual states and the federal government have laws to protect against...

The Financial Industry Regulatory Authority, or FINRA, regulates brokerages and dealers in the securities industry. It assumed the responsibilities formerly held by the National Association of...

Securities offered for sale to the public must either be registered with the Securities and Exchange Commission (SEC) pursuant to the provisions of the Securities Act of 1933 (1933 Act), or...

Companies offering securities for sale to the public must comply with the registration requirements of the Securities Act of 1933. Since the express provisions of the Securities Act provide for...

The Uniform Securities Act is a model statute designed to assist each state in the drafting of its securities laws. The goal of the Act is not only to provide guidance to each state so it can deal...

The Federal Securities Act was a law passed in 1934, in response to the stock market crash of 1929 that ushered in the Great Depression. The legislation was meant to prevent a repeat of the...

Before doing business with a particular company, you might wish to determine whether it is properly incorporated and, if so, is in good standing. This can be done using a variety of resources.

If you have been a victim of securities fraud from either the stock market or maybe you have had a problem with an private investor. Here are some tips on finding the right attorney for you.

When the bottom fell out of the stock market in 1929, the lack of securities laws was partly to blame. Since that time, the Securities and Exchange Commission (SEC) was created to protect...