• VIEW INVESTMENTS
  • SIGN IN
  • HOW WE WORK
  • WHO WE’RE FOR
    • INDIVIDUAL INVESTORS
    • INSTITUTIONAL INVESTORS
    • FAMILY OFFICES
    • BUSINESSES RAISING FUNDS
    • COMMERCIAL REAL ESTATE
    • EB-5 INVESTORS
  • RESOURCES
    • KNOWLEDGE BASE
    • LIBRARY INDEX
  • ABOUT US
    • ABOUT CAROFIN
    • PAST INVESTMENTS
    • FORM CRS
  • CONTACT
  • HOW WE WORK
  • WHO WE’RE FOR
  • RESOURCES
  • ABOUT US
  • FORM CRS
  • CONTACT
  • VIEW INVESTMENTS
  • SIGN IN

U.S. Securities Laws

by [email protected] | Mar 8, 2019

Includes the principal federal statutes enacted to regulate the securities sales and trading in the U.S. These include the Securities Act of 1933, Securities Exchange Act of 1934 and Investment Company Act of 1940. See “What Securities Laws and Regulations Govern Private Placements?” for a deeper discussion. Pertains to debt and equity securities.

« Back to Glossary Index

  • View Investments
  • How We Work
  • Who We’re For
  • Sign Into Your Account

  • Investor Support
  • Securities Explained
  • Industry Trends
  • Company Analysis

  • Newsletter
  • Knowledge Base
  • About Us
  • Contact

  • Relationship Summary
  • Privacy Policy

© Copyright 2024 Carofin, LLC. All Rights Reserved

PRIVATE PLACEMENTS ARE HIGH RISK AND ILLIQUID INVESTMENTS. AS WITH OTHER INVESTMENTS, YOU CAN LOSE SOME OR ALL OF YOUR INVESTMENT.

Securities offered through Carofin, LLC. Carofin, LLC and Carolina Financial Securities, LLC are affiliated Broker-Dealers, Members of FINRA/SIPC, and subsidiaries of Carolina Financial Group, LLC. For more information on the services we offer and details associated with such services, please see our Customer Relationship Summary.

This site is published for residents of the United States only. Representatives may only conduct business with residents of the states and jurisdictions in which they are properly registered. Therefore, a response to a request for information may be delayed until appropriate registration is obtained or exemption from registration is determined. Not all services referenced on this site are available in every state and through every advisor listed. For additional information, please contact Craig Gilmore at 828.393.0088 x 520 and/or [email protected]

The information contained herein is for informational purposes only and is not intended for further distribution. The information does not constitute a complete description of any investment or investment performance. This webpage is in no way a solicitation nor is it an offer to sell securities nor is it advice or recommendation regarding any investment. The information is not directed to any person who is not believed to qualify under the definition of an Accredited Investor under the rules of Regulation D of the 1933 Securities and Exchange Act. No security listed on this webpage or otherwise offered through Carofin, LLC may be purchased without prior receipt of a complete Private Placement Memorandum or other official offers of sale.

Carolina Financial Securities and Carofin only offer one type of alternative investment, those sold as private placements. Nothing on this website should be interpreted to state or imply that past results are an indication of future performance nor should it be interpreted that FINRA, the SEC or any other securities regulator approves of any of these securities. Additionally, there are no warranties expressed or implied as to accuracy, completeness, or results obtained from any information provided on this website. Investing in private securities transactions bears risk, in part due to the following factors: there is no secondary market for the securities; there is credit risk; where there is collateral as security for the investment, its value may be impaired if it is sold.

Close-up image of a typewriter

CAROFIN NEWSLETTER

Stay engaged with new knowledge base content and deals as soon as they hit the market.