Kansas claims the pride of place in with its enactment in 1911 of the country's first general securities law. Kan. L. 1911, ch. 133. Kansas Bank Commissioner J.N. Dolley, the author of that law, is also given credit for the...more
Massachusetts’ Secretary of the Commonwealth, William F. Galvin, caused the Securities Division to issue, on November 29, 2019, a revised proposed uniform standard of conduct for broker-dealers, investment advisers, and their...more
If your company plans to raise money by selling stock or convertible notes (also known as “securities”), then your company must comply with federal and state securities laws. If not, the company and its promoters could become...more