What Is A Security?
A Security is an investment instrument. It includes investments such as stocks, notes, bonds, debentures, investment contracts, interests in limited partnerships, and warrants, rights, or options …
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What Are The Federal Securities Laws?
Congress enacted the Federal Securities Laws In an effort to curb future excesses and to provide fair disclosure to investors. The Securities and Exchange Commission (SEC) administers these laws. …
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What Do These Securities Laws Cover?
The Securities Act generally requires companies to give investors full disclosure of all material facts, the facts investors would find important in making an investment decision. This Act also …
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Using Incentive Stock Option Agreements to Attract and Retain Key Employees
No matter what the status of current economic conditions, businesses often compete to hire the best, most talented people possible. Employees who are choosing between different companies consider the entire employment package being offered including working conditions, paid time off, benefits and, of course, compensation. Compensation includes not only salary but also bonuses and stock …
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Individual Protection when a Brokerage Firm Fails or Files for Bankruptcy
Many financial advisers and do it yourself financial websites advise that you have a diverse portfolio that combines savings and investments. For many Americans, that means investing with brokerage firms which can be a lucrative or nerve wracking experience. In order to provide some sense of stability and predictability for people who invest their money with brokerage firms, Congress …
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