lawyers.com - Untitled 2

Securities Law> Exemptions From Registration> Exempted Transactions

The Private Offering Exemption From SEC Registration Requirements

Section 4(2) of the Securities Act of 1933 exempts sales of a company's securities from federal registration requirements if the sales do not...

Arbitration of Securities Disputes

Although persons may not be required to arbitrate rather than litigate their claims, they may by contract agree to arbitrate any claims that arise under the contract.

In the securities industry, registered representatives and...

Insider Trading

The purchase or sale of securities of a company on the basis of inside or non-public material information about the company is considered illegal when the transaction is in breach of a fiduciary duty or a relationship of trust...

Disclosure of a Corporate Opportunity

Generally, a corporate director breaches the duty of loyalty if she seizes a business opportunity for herself that the corporation was financially capable of undertaking or in which the corporation had a reasonable...

Compliance with the ADEA/OWBPA

The Age Discrimination in Employment Act of 1967 (ADEA) was enacted to prohibit discrimination against older workers (ages 40 and over) relative to employee benefits. The ADEA applies to employers with 20 or more...