Securities Law

Federal and state securities laws contain many complex requirements that can be difficult for even experienced business people to understand. Contact a securities lawyer at our firm to discuss your securities issue.

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Frequently Asked Questions about Securities

Q: What is a security?

A: A security is an investment in a common business enterprise. Securities may be stocks, bonds, notes, debentures, investment contracts, treasury stocks, transferable shares or mutual funds.

Q: What does it mean to "go public?"

A: "Going public" is when a business transforms from a privately held company to a public company. The business registers securities so that it can offer and sell them to investors. Commonly, a company will do an initial public offering (IPO) of stock in which the company registers the stock with the Securities and Exchange Commission (SEC) and sells equity ownership to the public.

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Securities for Businesses - An Overview

The federal security laws were a product of the stock market crash of the 1920s. Prior to the federal regulations, there were very few rules regarding the reporting of material business information. In many ways, investors were left in the dark. Today, there are both federal and state securities regulations. Understanding which regulations and reporting obligations apply to your business can be complicated. A securities attorney at Jacko Law Group in San Diego, CA can counsel your business on a variety of securities law issues.

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Private Securities Litigation Reform Act of 1995

The Private Securities Litigation Reform Act of 1995 contains provisions that significantly affect businesses. Enacted when Congress overrode President Bill Clinton's veto, the PSLRA established new rules for securities class actions and brought about several important changes affecting cases brought under the securities laws.

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Securities Law Abuses and Enforcement

A violation of the securities laws can have significant, negative effects on a business, including investigation by the federal Securities and Exchange Commission (SEC), criminal proceedings and civil lawsuits. It is crucial for companies to understand and comply with the securities laws and regulations. A securities attorney can advise your business about the securities laws and compliance issues.

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The Advantages and Disadvantages of Going Public

"Going public" is an expensive process and a public company faces many new responsibilities it did not have as a privately held business. While there are benefits to going public, the owners of a business should seriously consider all the options and potential new responsibilities and obligations in order to make an informed decision that is in the best interest of their business. A securities attorney can help you analyze the advantages and disadvantages of an initial public offering or IPO.

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Registration of Securities

If you decide that your company should make a public offering of its securities, you must be aware of the federal regulations governing the registration. Section 5 of the Securities Act of 1933 requires that all securities offered for sale be registered with the federal Securities and Exchange Commission (SEC) unless otherwise exempted. Securities cannot be sold until the SEC has declared the registration statement "effective." The registration process has three periods: the pre-filing period, the waiting period and the post-effective period. An attorney can help you with the securities registration process.

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Securities Resource Links

United States Securities and Exchange Commission
The SEC aims to protect investors and maintain the integrity of the securities markets.

SEC Filings and Forms
EDGAR provides free public access to registration statements, reports and other forms electronically filed with the SEC.

Federal Securities Laws
This page of the SEC website provides links to the federal laws that govern the securities industry.

United States Small Business Administration
The SBA aids, counsels, assists and protects the interests of small businesses. This site provides information on starting, financing and managing a business.

Starting a Small Business
Small business startup guide provided by the federal Small Business Administration.

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