Investment Adviser Reporting Requirements

Investment advisers must file Form ADV with the Securities and Exchange Commission or with state offices for regulating securities. Investment advisers who manage $25 million or more in client assets must file the form and register with the Securities and Exchange Commission. Advisers managing smaller amounts of assets must file Form ADV with state securities regulators.

Insider Trading

(Bounties for Persons Reporting Insider Trading)

Significance of Par Value of a Stock

Common stock and other securities may be issued with or without a stated face value or "par" value. Issuing stock with or without par or face value may have several consequences.

Protection for Toxic Substances Control Act Whistleblowers

Protection for Toxic Substances Control Act Whistleblowers

Initial Public Offerings & the Securities Act of 1933> Registration of Securities> Registration Statement Filing

Pros and Cons for a Company Going Public