Questions tagged [securities]

This tag is for tradeable financial assets (securities)

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11 views

Is it ok to sign stock power before payment?

I'm selling some restricted company stock. The company will confirm from me about the payment and then only transfer ownership to the buyer. There are 2 documents I've been asked to sign by the ...
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How to understand submission deadlines and reporting regulations of the European Securitisation Regulation?

I am currently reading through the Reporting Instructions for securitisations which states for non-ABCP securitisations on page 7: Information on the underlying exposures for non-ABCP ...
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654 views

What laws protect minority share holders from having their share rights changed by special resolution?

A special resolution done by majority share holders can simply change the rights of certain shares and make them useless. They can reduce the share's voting rights or reduce dividend payment.
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2answers
145 views

Why can't a cryptocurrency be classified the same way as airline points or store rewards?

According to an article I read on Law360 (paywalled), Facebook's Libra could never be successful as envisioned because the tax reporting burden on it will be too high. Essentially, users will ...
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1answer
32 views

Definition of privileged information in investor law

Person X makes a scientific discovery about some new metallic alloy. She then reasons that as a result of its applications, the market for some other metal will drop. Is she allowed to short the ...
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73 views

Are companies allowed to trade securities based on internal user data?

Take a company like Google, that has access to real time information on what billions of people want at any given moment, their plans for the future - not to mention the entire email archives of ...
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1answer
268 views

Is wash trading illegal?

I put some money in Bitforex and some say that they do wash trading. This is where they inflate the volume of trade in their sites. Is it legal? Also, what's the jurisdiction of Bitforex?
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3answers
130 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 ...
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1answer
66 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 ...
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1k 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 ...
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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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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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1answer
53 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. ...
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192 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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331 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 ...
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1answer
73 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 ...
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1answer
835 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. ...
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2answers
196 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 ...
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955 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
105 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 ...
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121 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 ...