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The Securities and Exchange Commission (SEC) establishes regulations for buying and selling securities, which include stocks and bonds, to prevent investment fraud. Securities fraud is classified as a white-collar crime, or a nonviolent financial scheme. Two common...
The Securities and Exchange Commission regulates tradable financial tools, or securities, such as stocks and bonds. Insider trading is a familiar term to many stock traders in Pennsylvania. Many people still associate insider trading with fraud, but not all of it is...
Securities law in Altoona, Pennsylvania, helps regulate the buying and selling of stocks, shares, bonds, and other investments to prevent fraud. Congress enacted these laws in 1933 after the stock market crash of 1929. A common breach of securities law includes...
Securities fraud is a type of white-collar crime in Pennsylvania that entices investors to make a financial decision based on deceptive tactics. This deception often causes investors to lose large amounts of money, breaking securities law. There are several types of...
Across Pennsylvania and the other states, more than 5 million citizens have a legal responsibility to manage other people's money. This is referred to as a fiduciary responsibility. The Center for Fiduciary Studies is paving the way in setting an industry standard for...
The SEC faces an uphill battle when it comes to fighting online commentary that hypes stocks. Officials must prove that the information posted online was an organized attempt to change stock prices. It is not against the law to discuss stock hunches online, but...
Ponzi schemes in Pennsylvania tend to prey on people who want to make a lot of money in a short amount of time. At the beginning of the scam, it might seem like you're getting a good return on your investment. But when the scheme inevitably falls apart, you'll likely...
When you start investing in the stock market, you will want to retain a broker. Regular brokers interact directly with you, while broker-resellers act as intermediates between you and a larger broker. In either case, there are some points to consider when choosing a...
Insider trading is, basically, using one’s access to privileged information as a means of making money at other’s expense. More specifically, an investor engages in insider trading when she uses business or financial information that is not available to the general...
A smart investment can be a good way to shore up retirement savings or provide some extra financial security. Considering the sums of money often involved, this requires real trust. You must believe the money will be used for the stated purpose, and that the risks...
