News
Category: Legal Blog
Investment Manager Reports To Be Filed With the Securities and Exchange Commission
Institutional investment managers must report to the Securities and Exchange Commission on Form 13F those securities registered under Section 13(f) of the Securities Act of 1933 over which the investment managers exercise...
June 20, 2014 Share This
Investor Suitability Requirements for Broker Dealer Recommendations
Broker dealers may make investment recommendations to investors only if the broker dealer first determines that the recommended investment would be suitable for the investor. Suitability depends upon the investor’s...
June 20, 2014 Share This
Securities Law Additional Offerings, Disclosure & the Securities Exchange Act of 1934 Tender Offers
A company goes private by reducing the number of its stockholders to less than 300. The company thereby no longer is required to file public company reports with the Securities and Exchange Commission. Public companies that...
June 20, 2014 Share This
The Rule 505 Exemption from Registration Requirements for Small Securities Offerings
Before selling shares of stock to the public, a company normally must file a detailed registration statement with the Securities and Exchange Commission. The usual registration statement must contain a prospectus with audited...
June 20, 2014 Share This
Disputes between Landlords and Tenants
A wide variety of disputes can arise between a landlord and a tenant. The nature of the dispute can be large or small. For instance, the dispute can relate to the responsibility for a minor repair to the leased premises. In...
June 20, 2014 Share This
