Under the federal securities laws, a company that offers or sells its securities must register the securities with the SEC or find an exemption from the registration requirements. The federal securities laws provide companies with a number of exemptions. For some of the exemptions, such as Rule 506 of Regulation D, a company may sell its securities to what are known as accredited investors. The term accredited investor is defined in Rule 501 of Regulation D.
ESG Funds – What You Should Know
Check out our investor bulletin about mutual funds and ETFs that focus on environmental, social, and governance principles.
Celebrity Involvement with SPACs
Learn why it is never a good idea to invest in a SPAC just because someone famous sponsors or invests in it or says it is a good investment.
Know the risks of day trading
Read this Director’s Take article to understand the risks of engaging in this type of speculative investing.