Questions tagged [sec]

United States Securities and Exchange Commission (SEC) and U.S. regulation of financial securities and transactions

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69 views

Is internet tracking “public info” for insider trading purposes?

Suppose I own a search engine. I look at my server logs and see that the query "how to fix exploding engine" is very popular in the area around Tesla headquarters. Would it be legal to act on this ...
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0answers
40 views

Familial exemption for investment advisor representative

My parents have asked me to trade for them and they offered me a fraction of any profit. My plan is to set up a limited trade agreement and then manage the account's trades. Before doing so, I want ...
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10 views

Familial exemption for investment advisor [duplicate]

My parents have asked me to trade for them and they offered me a fraction of any profit. My plan is to set up a limited trade agreement and then manage the account's trades. Before doing so, I want ...
1
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2answers
35 views

Vocabulary for the outline levels of an SEC rule

I am working on a data modeling project involving an SEC rule and am struggling to deduce the proper vocabulary when referring to the various outline levels of the document. For example, at the top ...
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0answers
19 views

Who can investors sell to under Rule 144?

Under the United States SEC's Rule 144, investors can resell securities after one year (or six months if the company is a reporting company) as long as the issuer allows it. But to who can they ...
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0answers
25 views

US Limit for donations via cryptocurrencies to individuals and giving new tokens in exchange?

I would like to raise funding as I have developed some algorithms and software that and would like to keep in development for the public. The research I have found talks of a company raising money ...
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2answers
184 views

Would it be illegal for Donald Trump to short twitter, then leave the platform?

Presumably if Trump were to stop tweeting and move to a different social media platform (e.g., Instagram), Twitter's value would decrease significantly (source estimating Trump's value to Twitter). ...
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1answer
140 views

Initial Coin Offering restrictions for Non-Resident Aliens (F-1 Student)

United States residents who are not accredited investors are often not allowed to participate in Initial Coin Offerings (ICOs) which are not public offerings for the purpose of U.S. Securities laws. ...
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1answer
161 views

Hypothetical: Is a fully disclosed pyramid scheme legal?

I see that hypotheticals don't typically go over to well on this SE site but I'll give this a shot. EDIT: I originally posted as 'Ponzi' but I meant 'pyramid' Was talking with a friend tonight about ...
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1answer
173 views

Why are SEC lawyers kept in the dark about surveillance and wiretaps?

I understand that, unlike United States Department of Justice lawyers, Securities and Exchange Commission lawyers are not allowed the benefit of surveillance evidence or wiretaps gathered by agencies ...
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2answers
870 views

Does the SEC apply to overseas investments?

Would a US company issuing private stock outside of the USA have to comply with SEC regulations?
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1answer
64 views

Can a company take donations in lieu of investments and avoid SEC regulation?

Can a company issue "shares" that have no right to equity based on donations? This might sound like a weird question but the application is using the ethereum blockchain to create Tokens which would ...
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1answer
159 views

Avoiding the appearance of insider trading

Can one conceivably be accused of insider trading without being considered an insider at the company you work for? Is that classification by your company more just a way of categorizing employees and ...
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1answer
86 views

Does the “general public” include business entities?

Specifically regarding securities laws in the United States, there is often terminology that says: ... must not be marketed to the general public... The definition of "marketed" I understand and ...
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2answers
97 views

How was the $200,000 minimum income for accredited investors decided?

The SEC has a rule that restricts the definition of an accredited investor to a person who has income in excess of $200,000. (6) Any natural person who had an individual income in excess of $200,...