securities

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 party

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

Also, a person that holds an agricultural lien, a consignor...

secured transaction

A secured transaction is a deal in which a buyer or borrower (called a debtor) guarantees payment of an obligation by giving a security interest in property to the seller or lender (called a secured party). The property in which a security interest...

secured transactions

Secured Transaction Law: An Overview

A security interest arises when, in exchange for a loan, a borrower agrees in a security agreement that the lender (the secured party) may take specified collateral owned by the borrower if he or she should...

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 Act of 1933

The Securities Act of 1933 was Congress's opening shot in the war on securities fraud. Congress primarily targeted the issuers of securities. Companies which issue securities (called issuers) seek to raise money to fund new projects or...

Securities and Exchange Commission (SEC)

The Securities and Exchange Commission (SEC) is a federal administrative agency tasked with monitoring markets, enforcing securities laws, and developing new regulations. Congress established the SEC in the Securities Exchange Act of 1934,...

Securities Dispute Resolution

Dispute resolution methods, including mediation and arbitration, are non-judicial processes for settling disputes between two or more parties. In the securities industry, mediation and arbitration are very common. Formal litigation in court is rarely...

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 investors...

Securities Dispute Resolution: Deliberation, Awards, and Fees

After hearings are concluded, the arbitrator or panel of arbitrators retires to deliberate and issue a decision in the form of a written document called an “award.” The length of deliberations depends on a number of factors, including the number of...

Pages