The capital markets and capital formation activities in the United States are regulated by both the federal and state governments. The federal regulatory framework governing securities was largely enacted in the 1930s in the aftermath of the Great Depression. Although federal securities laws have undergone many revisions since then in response to market developments, the […]
The Securities Exchange Act of 1934: Key Aspects and Practical Insights for Your Business
The Securities Exchange Act of 1934 (“Exchange Act”) is the cornerstone of securities regulation in the United States, providing the framework for public company disclosures, anti-fraud provisions, and the oversight of the public securities markets. Enacted as part of the response to the stock market crash of 1929 – in addition to the Securities Act […]
Understanding Regulation FD to Ensure Fair and Accurate Disclosure of Your Company’s Information in Securities Markets
In today’s rapidly evolving financial markets, transparency is not just a best practice—it’s a regulatory imperative. Regulation FD (Fair Disclosure) plays a crucial role in leveling the playing field for investors and market participants by mandating that material, non-public information be disclosed to the public promptly. In this blog we delve into the origins, key […]
Navigating Federal Securities Laws and Regulations to Avoid Common Pitfalls for Companies Raising Money in the U.S.
Federal securities laws play a crucial role in regulating how companies raise capital, communicate with investors, and ensure transparency in their financial operations. For companies in California, compliance with these laws is not only mandatory but essential to avoid costly penalties, regulatory scrutiny, and potential lawsuits. Compliance with California’s securities laws is also required. Understanding […]
Spotting Securities Fraud: Red Flags for California Investors
In the dynamic world of investment, California investors face both opportunities and risks. While the allure of financial gain can be enticing, it’s crucial to navigate the investment landscape with caution. The securities fraud lawyers at Finkel Law Group would like you to be aware of one such risk you may encounter when considering an […]