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Children often learn what NOT to do by witnessing someone else being punished for that behaviour.
Registration Statement
A set of documents, including a prospectus, filed with a regulatory body like the SEC by companies wishing to issue public shares.
Material Misstatements
False or inaccurate statements that are significant enough to impact an investor's or decision-maker's judgment.
SEC Rule 504
SEC Rule 504 of Regulation D allows certain small businesses to offer and sell up to $5 million of their securities in any 12-month period without having to register the securities with the SEC.
Federal Securities Regulation
Federal securities regulation consists of U.S. laws and rules that regulate the creation, registration, purchase, and sale of securities, aimed at protecting investors and ensuring market integrity.
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