Many factors can affect an investment, which forces many savvy investors to be constantly vigilant for threats to brands as well as the operations and project of a company or subsidiary. There is a lot of support work that must be done to protect a brand, and that...
All securities that are offered or sold here in Kentucky must be registered. This is required by state law. There are some rare instances in which a security is covered or exempt and may not have to be registered though. Anyone wishing to register a security in the...
Are you sitting on a goldmine of an idea regarding a business development or a natural gas harvest? Even the best ideas usually need a large influx of cash to bring them to fruition.But you might have that bridge crossed as well. Let's say that you have secured the...
The Securities Act of 1933 was created to protect investors after the 1929 stock market crash. The point of this legislation was to make sure that financial statements would be more transparent, making it possible for investors to make more informed decisions....
The U.S. Securities and Exchange Commission (SEC) is responsible for supervising the enforcement of federal securities laws. Kentucky and every other state in the country have their respective agencies that perform similar duties as well. They each regulate the sale...
A law that emerged out of the Great Depression still guides securities laws today.The Securities of Act of 1933 has two core objectives: to see to it that investors are given necessary financial information about securities before they buy them and to keep securities...
Is your company ready for a regulatory investigation?Regulatory investigations can be very stressful. Your business is legally required to register if it operates in the securities industry. Most investigations are opened for noncompliance. If not, you will find some...
In the state of Kentucky and in the rest of the United States, companies are held to the Registration Under the Securities Act of 1933. This law means that companies must provide certain information so that transparency is maintained. This information is submitted...
A company that is offering securities has to ensure it is in compliance with applicable laws. These are meant to provide current and potential investors with the critical information that might impact their decision on an investment.The laws that must be followed are...
When your company is being investigated for regulatory violations, it is imperative that you make a plan for handling the matter. You shouldn't do anything that could incriminate the company and you need to ensure that everyone is acting in a reputable and lawful...
