| The Rule 504 Exemption From Registration Requirements For Small Securities Offerings |
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| Prior to offering and selling its stock to the public, a company normally must prepare and file with the Securities and Exchange Commission a detailed registration statement containing a prospectus with audited financial statements for distribution to potential purchasers and other information for review by Commission staff. However, there are exemptions from such registration requirements for certain categories of offerings that are small in value or sold to restricted categories of purchasers. More... |
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| Initial Public Offerings & the Securities Act of 1933> Registration of Securities> Registration Statement Filing |
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| Pros and Cons for a Company Going PublicMore... |
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| Criminal Liability of Officers and Directors for Corporate Antitrust Violations |
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| Criminal Liability of Officers and Directors for Corporate Antitrust ViolationsMore... |
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| Exchange-Traded Funds |
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| Exchange-traded funds are open-ended registered investment companies regulated by the Securities and Exchange Commission under the Investment Company Act of 1940. The Securities and Exchange Commission has exempted exchange-traded funds from regulatory requirements in order to allow secondary trading on national exchanges of shares in exchange-traded funds. More... |
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| Federal Antitrust Actions by States |
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| States are "persons" within the meaning of the Clayton Act and are entitled to bring actions on their own behalf for damages resulting to State property from violation of provisions of federal antitrust laws. For example, a state may bring a federal antitrust action for treble damages against companies that agreed on what bids would be made on a state construction project.More... |
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