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Questions tagged [securities]

The tag has no usage guidance.

2
votes
3answers
48 views

Could leaking insider information eliminate insider trader concerns?

Suppose I possess some non-public information about Company X. I want to trade Company X's stock for reasons unrelated to the information (e.g. I believe the stock market as a whole is going to tank ...
0
votes
1answer
64 views

What is the “penalty” for placing fake orders of treasury bonds?

I did ask this question to TreasuryDirect.gov, but received no answer. Most weeks the Government issues treasury bond products, for terms as short as four weeks. You recieve the face value but you ...
0
votes
1answer
674 views

Which companies need to comply with Sarbanes Oxley?

Some companies issue private offerings that are exempt from registration. Some register with the SEC ahead of a public offering. Some become reporting companies. When exactly does the Sarbanes-Oxley ...
2
votes
0answers
15 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 ...
1
vote
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 ...
0
votes
1answer
44 views

Is it illegal to impersonate a Provincial Securities Commission agent in Canada?

I had a situation were an old co-worker tried to stir up some trouble by impersonating an Alberta Securities Commission (ASC) agent. We have evidence that he did this, but nobody really seems to care. ...
7
votes
2answers
159 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). ...
5
votes
4answers
210 views

Is an 'honest', tongue-in-cheek ponzi scheme ICO still illegal to operate?

I've just come across what appears to be a deliberate parody ICO known as PonziCoin. It declares itself to be "The World's First Legitimate Ponzi Scheme", on the grounds that it is open and ...
1
vote
1answer
55 views

Could an executive selling shares be considered a breach of fiduciary duty?

When major executives sell large numbers of shares, these sales are often very public. Generally, massive stock dumps are a sign that the executive feels the value of the company has peaked, and is ...
4
votes
1answer
800 views

Could the Intel CEO be accused of insider trading?

A few weeks back, the Intel CEO sold all the company shares he was allowed to. Yesterday, it was reported that a big security flaw existed in virtually all Intel processors sold in the last decade. ...
1
vote
2answers
183 views

Is it legal to make a stock trade on non-public information that was obtained legally?

Let's say you hear two executives of a publicly-traded company discussing, in a public space, an upcoming earnings report, impending product release, bankruptcy, or some other material information ...
0
votes
2answers
509 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?
1
vote
1answer
37 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 ...
3
votes
1answer
98 views

Can someone short a stock if they have information that is likely to cause the stock to drop?

Suppose company X has a product P. An independent InfoSec expert M found a vulnerability in product P that can turn it into a significant safety hazard. Under the responsible disclosure guideline, M ...
0
votes
1answer
94 views

CEOs can't sell stock without risking imprisonment?

From what I understand if a CEO sells stock in their company and the stock price then goes down significantly within less than a year, they can get indicted for "insider trading" and face 5 to 10 ...