by Asher Ang | Mar 8, 2022 | Securities Blog
Note defined: A note is a debt instrument –– a legal contract between a borrower and a creditor, evidencing an obligation to repay some stipulated monetary amount (which could include principal plus interest or a discounted principal) at a defined point in time. There...
by Asher Ang | Jan 19, 2022 | Securities Blog
Testing the Waters with Rule 241 The Securities Act of 1933 (“Act”) regulates securities transactions that involve interstate commerce. Unless your securities are registered with The Securities and Exchange Commission (“SEC”) or are exempt from registration, it is...
by Asher Ang | Jan 4, 2022 | Securities Blog
The Investment Advisers Act of 1940 (“Act”) was enacted to regulate financial advisers who provide investment advice to the general public. The baseline principle of the Act is (1) any person (2) who, for compensation, (3) engages in the business of...
by Asher Ang | Dec 22, 2021 | Securities Blog
Guarding our capital markets and protecting American investors from fraud, the US Securities and Exchange Commission (“SEC”) regulates both foreign and domestic issuers that engage in the sale and distribution of securities in the United States. Without getting into...
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