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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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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Securities and exchange/ merger agreements

Whether the Change of Control Agreement and S-4 are legally binding like contracts and enforceable after the merger has closed, or whether they are only relevant to getting the deal approved before it ...