Federal Securities Laws encompass statutes and regulations designed to oversee the issuance and trading of securities, aiming to maintain fair, transparent, and efficient markets.
The North American Securities Administrators Association (NASAA) is a key organization focused on state and provincial-level regulation and enforcement of securities laws.
Detailed explanation of price-sensitive information, its categories, implications, and regulations.
A comprehensive guide on stock manipulation, detailing historical context, types, key events, and methods used to illegally influence stock prices.
An in-depth exploration of Watered Stock, a term describing artificially inflated shares in business. Learn about its history, key events, mathematical models, importance, applicability, and related terms.
A comprehensive overview of corporate insiders, including their roles, regulations, and impact on corporate governance and financial markets.
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization (SRO) that serves as the largest non-governmental regulator of securities firms in the United States. Created in 2007 through the consolidation of the NASD and NYSE's regulatory functions, FINRA oversees brokerage firms, branch offices, and registered securities representatives.
An insider is a person whose opportunity to profit from their position of power in a business is limited by law to safeguard the public good. Both federal securities acts and state blue-sky laws regulate stock transactions of individuals with access to inside information about a corporation.
Understanding the term 'affiliate' in the context of corporate relationships, securities, and market regulations. Explore its implications, types of affiliations, and relevant examples.
An in-depth analysis of Blue Sky Laws, their significance in preventing securities fraud, and the regulatory mechanisms governing their implementation.
The Municipal Securities Rulemaking Board (MSRB) is a regulatory body that creates policies ensuring fair practices in the municipal trade industry. This entry explores its history, function, and impact on the financial markets.
An in-depth exploration of the NASAA, an organization of securities regulators dedicated to protecting investors from fraud and ensuring market integrity.
An in-depth look at the Securities Act of 1933, its significance in the aftermath of the 1929 market crash, and its enduring impact on securities regulation.
