Securities Regulation Outline
Two Statues govern this area of law:
(1) Securities Act of 1933
• enacted in response to ‘29 crash
• policy of regulation through disclosure
• requires registration of securities
(2) Securities Exchange Act of 1934
• deals with regulation of security exchanges
• once you have disclosed under the ’33 Act you have continuing regulation under the ’34 Act
• act seeks to insure fair and orderly securities markets by prohibiting certain types of activities and by setting forth rules regarding the operation of the markets and participants
Securities and Exchange Commission (SEC)
• administers federal securities law and issue rules and regulations to provide protection for investors
• independent commission
• 5 members serve staggered five year terms
• no more than 3 members of the same party
More articles on Securities Alerts and Issues can be found in our Securities Alerts: SEC & FINRA Section
Securities Disclaimer
This website is for informational purposes only and does not constitute an offer or solicitation to sell shares or securities. Any such offer or solicitation will be made only by means of an investment's confidential Offering Memorandum and in accordance with the terms of all applicable securities and other laws. This website does not constitute or form part of, and should not be construed as, any offer for sale or subscription of, or any invitation to offer to buy or subscribe for, any securities, nor should it or any part of it form the basis of, or be relied on in any connection with, any contract or commitment whatsoever. EB5Projects.com LLC and its affiliates expressly disclaim any and all responsibility for any direct or consequential loss or damage of any kind whatsoever arising directly or indirectly from: (i) reliance on any information contained in the website, (ii) any error, omission or inaccuracy in any such information or (iii) any action resulting therefrom.
