Securities Law FAQ

1. Q. What is securities law?

A. Securities law governs the selling and issuing of securities as well as disputes which arise from the issuing and selling of those securities.

2. Q. I know there are federal securities laws, but are there laws within my own state that I should be aware of?

A. Yes, there are typically laws within your state which govern securities. Speaking to an attorney who is knowledgeable of securities law will help you ensure that you are compliant with all laws and statutes.

3. Q. What should I do if I feel I have been defrauded by a broker?

A. The first thing you should do is have your attorney check into the matter. If you have truly been defrauded, you may have the right to pursue a case against the broker in order to recover and seek compensation.

4. Q. What should I do if I feel I have been defrauded by a company?

A. Again, you should contact your attorney immediately. There have been several cases of companies defrauding individuals and there are even class action suits against certain companies. You may have the right to pursue a case against this company, or even join a case that is ongoing against that company.

5. Q. Do securities laws apply to all companies?

A. Most securities laws do apply to all companies; however some may be exempt from the registration and reporting laws. Still, the fraud rules typically apply to most companies.

6. Q. How can I determine whether my company should ‘go public' or not?

A. The best way to determine this is speak with your financial advisors and your attorney. There are benefits to going public for certain companies while others would be better off seeking financial resources elsewhere.

7. Q. Should I hire a securities law attorney?

A. Since securities law is very complex, most individuals do not understand the ins and outs of the law the way attorneys do. It's in your best interest to have a securities law attorney to protect you.

8. Q. Should I be receiving proxy statements from a company?

A. If that company is seeking a vote from you, it's important that they send a proxy statement and even a proxy card so that you can determine the material that is up for voting. If you're unsure, you should contact a representative of the company.

9. Q. What type of information should be in a prospectus?

A. A prospectus should include many types of information – including risks, business properties, competition, plans for distributing securities and more. If you're unsure whether the necessary information is included or not, contact your attorney.

10. Q. What is the best way to find a securities law attorney?

A. If you have associates that utilize securities law attorneys, you can ask for a recommendation. Check locally for attorneys that advertise as securities law experts and be sure to interview each one fully before hiring. This will help you hire the attorney that is best suited for you and your needs.

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