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Securities Regulation Committee of the NYSBA Business
Law Section reviews new U.S. and international proposals and developments concerning
securities regulation, informs members of significant developments in these areas and advocates positions through the preparation and submission of comment letters and articles regarding
securities regulation of companies.
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Securities” are shares, participation or interests in a corporation or in a commercial enterprise or profit-making venture and evidenced by a certificate, contract, instrument, whether written or electronic in character.It includes: (a) Shares of stock, bonds, debentures, notes, evidences of indebtedness, asset-backed
securities; (b) Investment contracts, certificates of interest or ... Up-to-date Information on Corporate &
Securities Law. On December 19, 2018, the SEC announced that it had adopted final rules that allow reporting companies to rely on the
Regulation A exemption from registration for their
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The MMA Encyclopedia As used in
Regulation D (§ 230.500 et seq. of this chapter), the following terms shall have the meaning indicated: (a) Accredited investor. Accredited investor shall mean any person who comes within any of the following categories, or who the issuer reasonably believes comes within any of the following categories, at the time of the sale of the
securities to that person:
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