The principal law affecting securities sales in the U.S. Requires that any offer or sale of securities using the means and instrumentalities of interstate commerce be registered with the SEC pursuant to the Securities Act of 1933, unless an exemption from registration exists under the law (such as the Section 4(2), the private placement exemption). See “What Securities Laws and Regulations Govern Private Placement?” for more information. Pertains to Issuers and Investors.
« Back to Glossary IndexSecurities Act of 1933
by bsmith@carofin.com | Mar 8, 2019
