This lesson is an introduction to Securities Act Rule 701, which exempts offers and sales of securities pursuant to compensatory benefit plans. It discusses the conditions which an issuer is required to meet to avoid registering such an offering.
Read moreThis is the first of two of lessons about section 5 of the Securities Act of 1933, the process for registering securities.
Read moreThis lesson is the second part of a two-part introduction to the federal crowdfunding exemption from the registration requirement of the Securities Act of 1933. You should not take this lesson until after you have completed Part 1.
Read moreThis lesson is an introduction to the Rule 144 safe harbor exemption for resales of securities. It discusses the basic conditions under which both affiliates and non-affiliates may resell securities without Securities Act registration. Before working through this lesson, students should have a basic understanding of the registration requirement of the Securities Act of 1933 and the restrictions in section 5 of that Act. The lesson provides links to the relevant regulatory provisions, but you might find it helpful to have your own copy of Rule 144.
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