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 [...]
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