Questions tagged [sec]

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

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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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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 ...