Tag Archives: Securitieslegal

Primary and Secondary Markets

There are two different settings in which securities transactions occur. The first, the seller of [...]

SEC Charges Promoter with Penny Stock Market Manipulation Scheme

The Securities and Exchange Commission (“SEC”) charged a public company promoter and his company with [...]

Repurchase Offers Summary

Alexis King On February 14, 1975, Commissioner of Corporations of the State of California, Willie [...]

Rescission Offers

Alexis King A rescission offer takes place when an issuer offers to repurchase an investor’s [...]

SEC Charges Two Robo-Advisers with False Disclosure

On December 21, the SEC instituted its first enforcement actions against robo-advisers when they issued [...]

What is the Securities Act of 1933?

Drafted by Commissioner Huston Thompson of the Federal Trade Commission (FTC), this was the first [...]