Explore the critical role of SEC Form 3 in regulating insider trading, with a comprehensive guide on who needs to file it, and what it entails for corporate transparency.
Explore the basics of Blue-Sky Laws, the state-specific regulations governing the issuance and sale of securities within U.S. states. Dive into how these laws protect investors and regulate the financial market.
Dive into the role of the Financial Industry Regulatory Authority (FINRA), its functions, and its impact on the securities market in the United States.
Explore what an Indication of Interest (IOI) entails in various financial contexts including IPOs and M&A, and learn how IOIs influence investment decisions.
Learn what IOSCO stands for, its role in the global financial landscape, and why it's crucial for international securities regulation.
Explore the role of NASD in securities market regulation before it became FINRA, including its impact on stock trading and market oversight.
Learn about the North American Securities Administrators Association (NASAA), its founding, functions, and key role in safeguarding investors across North America.
Explore the definition, types, and implications of an offer for sale in company stock offerings, including public issues and issue by tender.
Explore the mechanics of pump-and-dump schemes, their legal implications, and effective strategies to avoid falling victim to this fraudulent practice.
Explore the concept of bearer securities, how they facilitate anonymous transfers, and why they have become rare in today's electronic and regulated financial world.
Dive into the world of finance and explore the definition, function, and key components of a tombstone advertisement in financial offerings. Learn how these ads contribute to public offerings and the role of underwriters.
