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The act was revised again in 1985 as the Uniform Securities Act of 1985, and amended in 1988, but few states adopted these changes, and instead continued to operate under the 1956 Act. [1] The most recent version of the Act is the Uniform Securities Act of 2002 which was last revised in 2005.
Uniform Rules of Evidence Act: 2005 Uniform Securities Act: 1956, 1985, amended 1988, 2002 Uniform Simultaneous Death Act: 1940, 1993 Uniform State Administrative Procedure Act: 1981 Uniform Status of Children of Assisted Conception Act: 1988 Uniform Statute and Rule Construction Act: 1995 Uniform Statutory Form Power of Attorney Act: 1988
"State and federal law regulates the purchase and sale of stocks and other securities. A common "stock market" transaction is a "short sale" where, for example, an investor who believes a publicly traded stock is over-priced will borrow that stock from an owner, sell the borrowed stock, and repurchase the stock later at a lower price to repay ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
Uniform Securities Act; Uniform Securities Agent State Law Exam; United States person; Uptick rule This page was last edited on 22 July 2014, at 14:09 (UTC). Text ...
Every state and territory has its own basic corporate code, while federal law creates minimum standards for trade in company shares and governance rights, found mostly in the Securities Act of 1933 and the Securities and Exchange Act of 1934, as amended by laws like the Sarbanes–Oxley Act of 2002 and the Dodd–Frank Wall Street Reform and ...
The Uniform Securities Agent State Law Exam is written by NASAA and administered by FINRA. Representative of the nature of its activities are its frequent warnings regarding investment fraud , [ 1 ] its focus on the tax advantages of college plans, [ 2 ] and its involvement in naked short selling litigation aimed at the Depository Trust and ...
This act, however, left some regulation of investment advisors and much of the fraud litigation under state jurisdiction. In 1998, state law securities fraud claims were expressly preempted by the Securities Litigation Uniform Standards Act from being raised in lawsuits that were effectively class actions by investors, even if not filed as ...