by Asher Ang and Dennis Wurst | Mar 30, 2022 | Securities Blog
Heather and Company sell Sorority Dorm Stock? While visiting Heather’s apartment after a tennis match, Sue, Brenda, and Heather struck a conversation about their college experiences. Sue and Brenda were pleasantly surprised to find out that they were in the same...
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 and Dennis Wurst | Feb 10, 2022 | Securities Blog
Before I explain an exemption or exception to the rule, I always start with the general rule and purpose. Section 15 of the Exchange Act of 1934 (“Act”) makes it unlawful for any broker or dealer to purchase, sell, or effect transactions in securities, using...
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 and Dennis Wurst | Jan 14, 2022 | Securities Blog
Your real or imaginary company might make a product, provide a service or invest in real estate. Let’s consider an astute accredited investor, whose local gourmet dog biscuit bakery advertises their private stock for sale. The founders forfeit some of their personal...
by Asher Ang and Dennis Wurst | Jan 14, 2022 | Securities Blog
Heather subsidizes her hefty rent by offering her younger cousin a pretty place to live, while she builds up a savings nest egg and can afford her own place. Her roommate Brenda works for the treasury department of a major retailer, acting as the coordinator of the...
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