Skip to main content
Find a Lawyer


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 Articles

  • Insider Trading Rules

    In August 2000 when the Securities and Exchange Commission adopted the highly publicized Regulation FD which mandates simultaneous "fair disclosure" to all investors (see October 2000 ACE Report), the SEC also adopted new Rules regarding insider ...

    Read More »

  • SEC Approves New Regulation FD

    OverviewRegulation FD ("fair disclosure")Frequently-Asked Questions Attorney ContactsDisclosure "High quality and timely information is the lifeblood of strong, vibrant markets. It is at the very core of investor confidence. Regulation FD will ...

    Read More »

  • Crowdfunding Financial Statements Disclosure Challenges

    There is no substitute for hands on experience that helps to improvise solutions. This article will discuss how this applies to financial statements, when small and midsize businesses try to raise capital.

    Read More »

  • Crowdfunding Disclosure and Other Compliance Challenges

    The capital-raising world has been buzzing about the new choices the JOBS Act’s exemptions from registration have given a wide range of businesses about how to communicate with and sell securities directly to the public.

    Read More »

  • Crowdfunding Strategy: Choosing the Right Exemption from Registration

    The Jumpstart Our Business Startups (JOBS) Act of 2012 was a bipartisan effort to create jobs by making it easier for small and growth businesses to deal with securities laws when raising capital.

    Read More »

  • Crowdfunding Public Policy Issues: An Introduction

    “Give me Technology or give me Death!” Patrick Henry actually said “Give me Liberty or give me Death,” but for 21st Century entrepreneurs, the freedom to use technology tools to raise capital is literally often the difference between the life and death of their businesses.

    Read More »

  • Physician Networks and IPAs: Are you Selling Securities?

    If you are considering forming a network or independent practice association ("IPA") and issuing stock or limited partnership interests to network or IPA participants, you must consider whether the stock or limited partnership interest is a ...

    Read More »

  • SEC Rules Under Sarbanes-Oxley: Impact Beyond Issuers

    Recently, the SEC issued a series of final rules under the Sarbanes-Oxley Act of 2002 (the "Act"). Besides the obvious impact of these rules on accountants and broker-dealers that happen to be public reporting companies subject to the Act, they ...

    Read More »

  • Initial Public Offering Planning

    Size of the company: Typically the company must be valued at $50 million to $100 million post-offering ($30 million to $80 million pre-offering) to attract an institutional following. Review multiples of comparable companies to determine the ...

    Read More »

  • How To Get Your Share Of Venture Capital Financing

    Wall Street is flourishing at unheard-of levels and is creating record amounts of wealth for many investors. Because so much cash is in the market, there has never been a better time for entrepreneurs to begin that long-dreamed-of business venture ...

    Read More »

Copied to clipboard