Notes on Chapter 17
I want to make some money. I want to invest. I believe you can help me make some money. I want to make an investment with you. You would like to enter into some kind of contractual relationship with me whereby I give you some of my money to invest to make some kind of profit for both of us. Stop right there. Financial and securities regulations regulate this type of transaction.
The main purpose of the securities laws and regulations are to provide for registration by you, disclosure of information about the investment and penalties for fraud with regard to certain types of these transactions.
The word security is broadly defined. Securities laws and regulations govern issuance, advertisement, sale and re-sale of securities.
The Securities Act of 1933 is primariliy a disclosure law related to the initial sale. Investors are granted rights to receive extensive information about a potential investment before investing. Violations may result in severe civil and criminal penalties.
The Securities Exchange Act of 1934 regulates transfers after the initial sale.
The Private Securities Litigation Reform Act of 1995 placed limits on potential plaintiff actions.
Sarbanes-Oxley Act of 2002 requires among other things that CEOs certify financial statements.
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 enhanced existing consumer protections and mortgage laws.
Post to Discussion Board one (1) webliography assignment from Chapter 17. Select your own questions from the “Review Questions and Problems” at the end of the chapter.
Post to Discussion Board one (1) answer to a “Business Discussion” question listed at the end of Chapter 17.
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