Securities laws govern how a company may raise capital, impose obligations on a company once it has done so, and provide protections for investors. The Securities and Exchange Commission is tasked with implementing and enforcing these laws consistently with a tripartite mission of protecting investors, maintaining efficient markets, and facilitating capital formation. We will cover the following topics: registration requirements and exemptions under the Securities Act of 1933; reporting requirements under the Securities Exchange Act of 1934; anti-fraud provisions; restrictions on insider trading; whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010; and the operation of the SEC.
