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Securities Law> Exemptions From Registration> Exempted Transactions

The Private Offering Exemption From SEC Registration Requirements

Section 4(2) of the Securities Act of 1933 exempts sales of a company's securities from federal registration requirements if the sales do not...

Basics of the Agency Relationship

Business often is conducted by agents who act for others. For example, insurance policies may be sold through agents. Agencies also exist in relationships between guardians and wards, employees and employers, estates and executors, and partners. ...

Premerger Second Requests for Information

Parties to mergers or acquisitions involving sales or assets of $200 million or meeting other threshold levels must report their planned merger or acquisition to the Department of Justice or the Federal Trade Commission and wait for 30 days (15...

Investment Adviser Reporting Requirements

Investment advisers must file Form ADV with the Securities and Exchange Commission or with state offices for regulating securities. Investment advisers who manage $25 million or more in client assets must file the form and register with the...

Closed-End Funds

The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such...