money and financial problems

Rule 144A

Rule 144A (formally 17 CFR § 230.144A) is a Securities Exchange Commission (SEC) regulation that enables purchasers of securities in a private placement to resell their securities to qualified institutional buyers (QIBs) under certain...

satisfaction of mortgage

A satisfaction of mortgage is a document that proves the borrower has paid off the mortgage in full, freeing the loan's lien on the property and giving the title to the borrower. The facts of the mortgage loan, conditions relieving the lender...

Section 11

Section 11 refers to Section 11 of the Securities Act, formally 15 U.S.C. § 77k, which allows purchasers of a security in a public offering to bring a civil action against the issuer, underwriter, or anyone who signed or helped prepare the...

Section 5

Section 5 commonly refers to Section 5 of the Securities Act, formally 15 U.S.C. § 77e, which requires issuers to file a registration statement when publicly offering securities.

Section 5 Regulations

Section 5 seeks to...

secured debt

Secured debt is a creditor’s claim that is secured by a lien on the debtor’s property. This lien can be established either by the debtor’s agreement or involuntarily through a court judgment or tax obligation.

Some examples...

secured party

A secured party is a person or entity in whose favor a security interest is created or provided for under a security agreement, regardless of whether an obligation to be secured is currently outstanding.

For example, a...

secured transactions

Secured Transactions Law: An Overview

Secured transaction law governs the creation, perfection, priority, and enforcement of security interests in personal property. This area of law provides lenders with a legal mechanism to secure their...

securities

Securities Law: An Overview

Securities law exists because of unique informational needs of investors. Securities are not inherently valuable; their worth comes only from the claims they entitle their owner to make upon the assets and...

Securities Dispute Resolution

Securities dispute resolution refers to the processes and mechanisms used to resolve conflicts and disputes arising from securities transactions, investments, and related activities. These disputes often involve issues such as fraud,...

Securities Dispute Resolution: Deciding Whether to File an Arbitration Claim

Most retail investors must sign arbitration agreements when they open investment accounts with their brokers. Consequently, they are required to submit any disputes with their broker to arbitration. This page offers factors to consider for...

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