Valenti Hanley PLLC

regulatory work Archives

What is the Securities Act of 1933?

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. Additionally, laws were passed to prevent fraudulent acts and misrepresentation in the securities market.

What exactly is regulatory work and what's the role of the state?

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 or exchange of stocks, bonds and other financial instruments that can be traded for a monetary value within their borders. The work of both of these agencies is referred to as regulatory work.

Has your company failed to register securities?

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 through the registration of securities.

Regulatory investigations must be handled carefully

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 manner.

Email Us For A Response

Protect Your Interests

Call us at 502-208-5017 or fill out the form below to schedule an initial consultation with an experienced attorney.

Bold labels are required.

Contact Information
disclaimer.

The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

close

Privacy Policy

Valenti Hanley PLLC
401 West Main Street
Suite 1950
Louisville, KY 40202

Toll Free: 866-617-6209
Phone: 502-208-5017
Fax: 502-568-2101
Louisville Law Office Map

Map Marker