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Securities We make sure you get what you deserve. Securities are only as good as the future profitability of the corporation. They include stock, bonds and debentures issued by corporations and governments as evidence of ownership and terms of payment or of dividends or final pay-off. These are called securities and the registration of which is required under federal rules pursuant to the Securities Act of 1933 and state securities law. Certain securities may be sold without registration if eligible for one of several exemptions under federal and state law. Federal securities laws are generally administrated by the Security and Exchange Commission (SEC) which was established by the Securities Exchange Act of 1934. The two key federal laws are involved are: The Investment Company Act of 1940 ("Investment Company Act"): requires issuers subject to certain exemptions to register with SEC if they want to have their securities traded on a national exchange. Issuers of securities registered under the 1934 Act must file various reports with SEC in order to provide the public with adequate information about companies with publicly traded stocks. The 1934 Act permits the SEC to promulgate rules and regulations to protect the public and investors by prohibiting manipulative or deceptive devices or contrivances via mails or other means of interstate commerce. The Investment Advisers Act of 1940 ("Advisers Act"): is a federal law that governs investment advisors through by regulating the actions of investment advisers. State Investor Protection Laws: These laws give investors, who lose money or are defrauded in the securities markets, better protection than is available under the federal laws. Typical provisions of the state securities "Blue Sky Laws" include, prohibition against fraud in the sale of securities, registration requirements for brokers and dealers, registration requirements for securities to be sold within the state, and sanctions and civil liability. Complaints against brokers hit an all-time high of 8,945 in 2003 as a result of the industry's scandals it's recommended that all investors retain consulting from attorneys like the Corporate Law Center who concentrate in securities law. Ronald Serota has the knowledge and expertise to advise clients on their legal rights in investing, before considering an investment. |
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DISCLAIMER AND LEGAL INFORMATION
Welcome to the Corporate Law Center disclaimer and legal information page. This information is provided in order to clarify your legal rights as a user of this web site. Corporate Law Center regularly updates the documents contained within this web site. This electronic publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is provided with the understanding that in making this information available to you, Corporate Law Center has not been engaged by you to render legal, accounting, tax, asset protection or other professional services. Accordingly, this information should not be construed as the rendering of specific tax or legal advice.
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The establishment of offshore trusts and/or corporations requires careful planning. You should seek opinions as to specific structures that may or may not apply based upon your particular facts and circumstances. In addition, you should be made aware of all U.S. Treasury Department or Internal Revenue Service filing requirements. None of the material found in this site is intended to condone the commission of any unlawful act or use of offshore structures for any illegal or fraudulent purpose. If you need additional information regarding the subject matter, you should contact a qualified professional advisor.