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Category Archives: Securities

Legal1

What Is The Howey Test & How Does It Affect Securities?

By Hunt Law |

The body of law that regulates securities in the United States has been steadily built up since the creation of the Securities & Exchange Commission (SEC) in 1934. One of the most foundational aspects of securities law comes from a U.S. Supreme Court case, SEC v. W.J. Howey & Co, decided in 1946. Howey… Read More »

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Law1

Attacks On Securities Regulators To Be Decided In 2024

By Hunt Law |

Securities law in the United States is an ever-evolving entity, given its youth, and with every legal decision, securities investors and regulators are required to adapt. In 2024, several significant cases are poised to potentially affect securities regulators on an integral level, forcing major changes for the entire industry. Whether you are an investor… Read More »

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GavelBooks

Rescheduling Cannabis & The U.S. Securities Market

By Hunt Law |

In early January 2024, the U.S. Department of Health & Human Services (HHS) officially recommended rescheduling cannabis from a Schedule I drug to a Schedule III drug. While this would not lower the amount of drug-related convictions among the general populace, it would open up the possibility of greater research and commerce related to… Read More »

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Legal13

SEC Stock Buyback Rules Overturned In Fifth Circuit

By Hunt Law |

In May, the Securities & Exchange Commission (SEC) adopted a new rule intended to force more public disclosure on companies with regard to stock buybacks. Stock buybacks happen when a company purchases some of its own shares, and they are done for multiple reasons – to boost the stock’s value, to prevent a takeover,… Read More »

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Legal10

Explaining Private Placement Of Securities

By Hunt Law |

If someone is wanting to invest their money in the stock market or in securities, they have many options. The U.S. Securities & Exchange Commission (SEC) requires that securities specifically either be registered with the commission, or qualify for an exemption under the Securities Act of 1933. Securities that qualify for a specific exemption… Read More »

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Litigation4

Explaining EDGAR Filings For New Market Participants

By Hunt Law |

In order to comply with U.S. securities law, every publicly traded company must submit reports at regular intervals to the Securities & Exchange Commission (SEC). For some, this amount of paperwork can be extensive – but it can be filed electronically, thanks to the EDGAR (Electronic Data Gathering, Analysis and Retrieval) system. For a… Read More »

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BlueSkyLaw

Explaining Blue Sky Laws

By Hunt Law |

In the 1920s, prior to the Great Depression, speculative investments were widespread. There was no real oversight of the securities market (the Securities & Exchange Commission did not come about until the mid-1930s) and as such, firms did not have to provide any kind of establishing information about their investments. This contributed significantly to… Read More »

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Legal22

Can Cannabis Companies Issue Securities?

By Hunt Law |

Despite significant gains at the state level, marijuana is still illegal according to U.S. federal law (and Florida state law as well). Because of this, laws originally intended to prohibit potential money laundering create a steep ‘compliance burden’ for financial institutions, making it all but impossible for state-level cannabis facilities to get financing. One… Read More »

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Legal14

US Sues Two Major Cryptocurrency Exchanges Within 24 Hours

By Hunt Law |

The battle between the U.S. Securities & Exchange Commission (SEC) and the cryptocurrency industry has raged for quite some time now, with the federal agency fighting hard to bring the industry under its aegis, and the industry stubbornly refusing oversight. In early June 2023, though, the SEC filed suit against two of the largest… Read More »

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GavelScales

Rule 144, 101: Explaining The Most Common Securities Exception

By Hunt Law |

There are several types of securities sold on the U.S. market, including restricted and control. Control (not ‘controlled’) securities are those held by an affiliate of the company, while restricted securities are most often offered to investors via private sales. Neither restricted nor control securities can be resold in the U.S. unless they are… Read More »

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