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Investment Clubs
Groups of individuals may form a partnership or other organization in which they pool investment resources and ideas. The extent to which a membership in the club might be considered a security and the extent to which members of the club participate in decisions of the club will affect application of federal securities laws to activities of the club and its members. More...
Criminal Liability of Officers and Directors for Corporate Antitrust Violations
Criminal Liability of Officers and Directors for Corporate Antitrust Violations More...
Consumer Law
(Proper Disposal of Consumer Information) More...
Exchange-Traded Funds
Exchange-traded funds are open-ended registered investment companies regulated by the Securities and Exchange Commission under the Investment Company Act of 1940. The Securities and Exchange Commission has exempted exchange-traded funds from regulatory requirements in order to allow secondary trading on national exchanges of shares in exchange-traded funds. More...
An Introduction to the Securities Exchange Act of 1934
In response to the stock market crash of 1929, Congress enacted the Securities Act of 1933 and the Securities Exchange Act of 1934. While the Securities Act governed the issuance of securities, the Securities Exchange Act regulated trading in the securities. More...

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