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securities registration filings Archives

What is the purpose of the Securities Act of 1933?

It is likely that some of the readers of this Florida securities and business law blog purchased something without having all of the information about the item. In some cases, the purchase may be just what they need, but in other cases, the item they receive may not be what they bargained for. Most individuals want to have the best information possible about the things they invest in so that they are sure they are using their money wisely.

Cryptocurrency company gets approval to sell securities tokens

The world of cryptocurrency is an emerging financial and technological field that has pushed regulators and lawmakers to keep up with the ever-evolving and ever-growing online economy. For the most part, cryptocurrencies like Bitcoin have been offered as online money, given value by those who recognize it for purchases and online transactions. However, just recently one cryptocurrency company achieved a new status for its product.

What characteristics must a financial instrument have to be a security?

Determining whether a financial instrument is to be included within the definition of the term "security" under state and federal law may require a complex analysis. The definition of a security is included in state and federal statutes, but the analysis may not stop there with the mere written words. In fact, a security can take on different forms, from the stocks offered by companies raising capital to the bonds offered by various local and state government entities. Securities include obscure instruments such as whiskey warehouse receipts, as well as common promissory notes.  Determining whether such instruments constitute a "security" may involve the use of judicially-created analysis/tests such as the "Howey test" or the "family resemblance test."

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