Examlex
An organisation is meeting its ethical responsibility when it:
Sophisticated Investors
Individuals or entities with significant experience, assets, and knowledge, enabling them to assess investment risks and opportunities.
Securities Exchange Act
A U.S. law enacted in 1934 that governs the trading of securities, such as stocks and bonds, aimed at protecting investors and maintaining fair markets.
Register Securities
The process of filing securities with the appropriate regulatory body, providing necessary information before they can be legally sold to the public.
Federal Registration Requirement
Federal Registration Requirement mandates that certain securities and financial transactions must be registered with a governmental body, typically to ensure transparency and protect investors.
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