Legal Question in Investment Law in California

US Regulation related to public and private offerings in corporate finance.

I know SEC regulation D is related. How about federal security act? Civil law? Business law? State law? Commodity Futures Trading Commission ? National Association of Securities Dealers? I would like everything related to shareholders right within this context. thank you.


Asked on 6/28/08, 5:21 am

2 Answers from Attorneys
Jillian Sidoti The Law Office of Jillian Sidoti

Re: US Regulation related to public and private offerings in corporate finance.

Hi -

I specialize in securities and there are all kinds of things I can tell you. Could you please be more specific? Reg D is basically an exemption from full registration (although you are still required to do some paperwork for the SEC and potentially for the state) There are three major Rules under the exemption: 504, 505, and 506. Every state deals with each of these rules in their own way.

The NASD has been taken over by FINRA.

I hope this at least helps a little.

Jillian Sidoti

Read more
Answered on 7/01/08, 2:41 am
Jillian Sidoti The Law Office of Jillian Sidoti

Re: US Regulation related to public and private offerings in corporate finance.

Hi -

I specialize in securities and there are all kinds of things I can tell you. Could you please be more specific? Reg D is basically an exemption from full registration (although you are still required to do some paperwork for the SEC and potentially for the state) There are three major Rules under the exemption: 504, 505, and 506. Every state deals with each of these rules in their own way.

The NASD has been taken over by FINRA.

I hope this at least helps a little.

Jillian Sidoti

Read more
Answered on 7/01/08, 2:42 am


Related Questions & Answers

More Investment Law questions and answers in California