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The Regulation A Registration Exemption for Small Securities Offerings

Under section 3(b) of the Securities Act of 1933, the Securities and Exchange Commission has established Regulation A to exempt small offerings of securities from registration requirements. While the exemption does not relieve a company from its...

The Municipal Securities Rulemaking Board

Municipal bonds and other securities offerings by governmental entities generally are exempt from federal securities law registration requirements. However, information about such offerings is available from sources other than the U.S. Securities...

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...

Employment Issues under OSHA

Employment Issues

The Occupational Safety and Health Administration handles complaints of discrimination or termination of employment under Section 7(a). OSHA will receive the complaint in any form, including verbally,...

Mergers

Self-regulatory organizations such as the New York and American Stock Exchanges and NASDAQ require that listed companies must obtain approval of their shareholders for stock options and other equity sharing plans. ...