169 Securities Law results in California

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NASD Liabilities Can the NASD be held liable for thier Director who appoints the Arbitrators for excepting a bribe and admitting to this ...
Asked 5/13/05, 3:42 pm in United States California Securities Law

2
answers
Is possession 9/10ths of the law concerning stock certificate? Over 10 years ago I purchased a book from the salvation army, a couple months...
Asked 3/31/05, 4:26 am in United States California Securities Law

1
answer
wire if is it legal to record a conversation without the consent of all parties to the conversaion how come police could wire a person who i...
Asked 3/29/05, 7:38 pm in United States California Securities Law

1
answer
recording is it legal to record a conversation without the consent of all parties to the conversaion
Asked 3/28/05, 10:45 pm in United States California Securities Law

2
answers
Spac What is a special Purpose Acquisition Corporation? How is it formed and what are the securities laws governing them - what are the bus...
Asked 3/24/05, 7:14 pm in United States California Securities Law

1
answer
Securities agreements I would like to know where do I find or look up agreements that the NASD , SEC securities exchange, have with the U...
Asked 3/21/05, 3:14 pm in United States California Securities Law

1
answer
handcuffs Is it legal for the public to carry handcuffs? if not what permits are required?
Asked 12/18/04, 12:27 pm in United States California Securities Law

2
answers
Lien Sale Law A lien was placed on my vessel for non payment of repairs. It took the repair shop nearly 4 mo's to complete work, and it's ...
Asked 9/24/04, 1:21 pm in United States California Securities Law

1
answer
Sarbanes-Oxley and software vendors compliance Can a public company require its software vendor(s) (business information software) to improv...
Asked 8/18/04, 1:37 pm in United States California Securities Law

1
answer
independent stock research service Do I need any type of license to offer independent research services on basic stock information such ...
Asked 5/04/04, 10:15 am in United States California Securities Law

1
answer
Son sentenced to California Youth Authority As a juvenile, my son was sent by the court to a residential drug treatment program. While there...
Asked 3/20/04, 12:35 pm in United States California Securities Law

1
answer
securities mismanagement I am currently planning on sueing two brokers (with different brokerage houses) for inappropriate investing due to ...
Asked 3/02/04, 10:35 pm in United States California Securities Law

1
answer
Class Action Securities Deception I bought stock in a company selling as a pre-IPO. According to SEC rules investors are supposed to be accr...
Asked 1/12/04, 3:03 pm in United States California Securities Law

2
answers
Face Value of Stock Changing in Private Company Can a company which is currently private, issue contracts to contractors paying them stock a...
Asked 1/12/04, 3:01 pm in United States California Securities Law

1
answer
firewalls Is it legal to have a firewall?
Asked 7/08/03, 12:58 am in United States California Securities Law

1
answer

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