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Federal securities laws generally do not require public companies to reveal all their material statements or financial information. As reported by Compliance Week, the U.S. Securities and Exchange Commission only requires disclosure of a material fact that a...
Advertising materials used by stock brokerage firms must provide clients with accurate information. The Securities and Exchange Commission prohibits false or misleading statements in marketing communications. Printed, online and phone communications may not omit...
In Florida, the law treats fraud crimes in a harsh way. If you face charges for securities frauds, you also face the possibility of a hefty penalty if convicted. Securities frauds come in many different forms. Each potential version might have different related...
The Financial Industry Regulatory Authority, known as FINRA, recently announced updates to its guidelines for issuing sanctions to investors accused of practice violations. The updates took effect in October of 2020 and highlight the importance of discretion and...
Cryptocurrencies are still young, but they have grown exponentially since they first came on the market. People now even use cryptocurrencies as investment tools, especially when demand for specific digital currencies lead to spikes in value. Over the past few years,...
If you provide investment advice, you likely encounter a number of different hurdles every day. Aside from dealing with difficult customers and uncertainty over complex regulations, some investment advisers face serious threats to their livelihood as a result of FINRA...
The Financial Industry Regulatory Authority is a non-profit organization authorized by the government. Its purpose is to ensure the integrity of the market and provide basic protection to investors. It is a self-regulatory organization operating under the supervision...
In Florida, someone can only file an action for breach of contract against you when the breach is material. A contract ideally includes language identifying which of its provisions are material, and how to proceed if a breach occurs. Whether or not this is in the...
Financial fraud can be devastating because it is so easy to lose a lot of money quickly due to hard to detect schemes. Something may seem so real yet be nothing more than a scam. The U.S. Securities and Exchange Commission suggests that before investing in anything,...
When securities claims surface, there are multiple factors that require careful examination. From relevant laws to the long-term impact of a claim, those involved in arbitration have many considerations. However, it is imperative to think about time as well as the...