This is FindLaw's collection of Securities articles, part of the Finance section of the Corporate Counsel Center. The Federal Securities Laws are comprised of a series of statutes, which in turn authorize a series of regulations promulgated by the government agency with general oversight responsibility for the securities industry, the Securities and Exchange Commission. The two main statutes involved in the Federal Securities laws are the The Securities Act of 1933 and the The Securities Exchange Act of 1934. Law articles in this archive are predominantly written by lawyers for a professional audience seeking business solutions to legal issues. Start your free research with FindLaw.
Securities
Securities Articles
-
SEC Approves NYSE and NASDAQ Proposals Relating to Director Independence
On November 4, 2003, the Securities and Exchange Commission (SEC) approved listing standards proposed by the New York Stock Exchange (NYSE) and the Nasdaq Stock Market, Inc. (Nasdaq) relating to board composition and director independence. Learn more about those proposals in this article.
-
Being a Public Company Director or Officer Just Got a Whole Lot Riskier
As of December 31, 2005, you could be required to compensate stock market investors for deficiencies in your company’s disclosure. A highly significant development for Ontario ’s capital markets will take place on December 31, 2005, when a new ...
-
Limitations of Safe Harbor Under the Private Securities Litigation Reform Act
Around the United States, a collective sigh of relief could be heard from corporate executives on December 22, 1995. As either a belated Hanukkah gift or an early stocking stuffer, the United States Congress gave public-company executives what ...
-
SEC Plain English Disclosure Rules
The Securities and Exchange Commission has adopted new plain English disclosure rules which become effective on October 1, 1998. These changes will significantly affect the drafting and format of all prospectuses in registered public offerings by ...
-
SEC Adopts Final Rule Requiring Investment Advisers to Adopt Codes of Ethic
On July 2, 2004, the Securities and Exchange Commission (the "SEC" or "Commission") adopted Rule 204A-1 under the Investment Advisers Act of 1940 (the "Act") and related amendments that require regis-tered investment advisers to adopt a code of ...
-
SEC Adopts Final Rule Relating to Analyst Certification
In an effort to promote the integrity of research reports and investor confidence in those reports, on February 20, 2003, the SEC adopted final rules relating to certification of broker-dealer research reports. (Release Nos. 33-8193 and 34-47384 ...
-
SEC Accelerates and Expands Reporting of Significant Events on Form 8-K
Beginning August 23, 2004, public companies must report additional events on a reconfigured Form 8-K. In addition, Form 8-K filing deadlines generally will be shortened to four business days. These changes are the result of the Securities and ...
-
Minimizing the Risk of Insider Trading Liability
During the past year, there have been two major developments in the law regarding SEC enforcement actions involving alleged insider trading. In the first case, United States v. O'Hagan, __ U.S. __, 117 S. Ct. 2199 (1997), the United States Supreme ...
-
SEC Adopts New Rules For Cross-Border Transactions
The Securities and Exchange Commission (the "SEC") recently adopted tender offer and registration exemptive rules under both the Securities Act of 1933 ("Securities Act") and the Securities Exchange Act of 1934 ("Exchange Act") for cross-border ...
-
Regulation FD Prohibits Selective Disclosure
On August 10, 2000, the Securities and Exchange Commission (SEC) adopted Regulation FD (Fair Disclosure), a new regulation that prohibits public companies from selectively disclosing material information to analysts and institutional investors ...