Securities Law

  • 5 Posts
  • 1 Sections
  • 1 Types
August 18, 2024 5 min read Dictionary
Gun-Jumping
Financial Regulations Securities Law IPOs Insider Trading Market Integrity Financial Ethics Securities Exchange Commission
Gun-jumping is the reckless act of acting on non-public information in financial markets, undermining fairness and equality.
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August 18, 2024 5 min read Dictionary
Regulation A
Securities Law Financial Regulations Regulation A SEC Public Offerings Investment Exemptions Capital Raising
An exemption from registration requirements that allows companies to conduct public offerings of securities.
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August 18, 2024 6 min read Dictionary
Rule 10b-5
Securities Law Investments Rule 10b-5 SEC Securities Fraud Insider Trading Financial Regulations
Understanding Rule 10b-5: The Anti-Fraud Crusader of the Securities Market
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August 18, 2024 6 min read Dictionary
Rule 10b5-1
Finance Securities Law Rule 10b5-1 Insider Trading SEC Regulations Corporate Governance Compliance
A legal shield against insider trading for corporate insiders. It allows predetermined stock sales while keeping regulators happy!
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August 18, 2024 6 min read Dictionary
Rule 144A
Finance Securities Law Rule 144A Securities Institutional Investors Private Placements SEC
A financial term describing a legal provision for trading privately placed securities among qualified institutional buyers without SEC registration.
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