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Securities and Commodities Law

Securities Law
Excludes securities litigation and arbitration.

Resources in this category:
   Wex: Blue Sky Law (Legal Information Institute)
   NASAA Fraud Center (North American Securities Administrators Association)
This page educates and informs about investment scams, schemes, scandals, and frauds, how to spot a con artist, how to avoid becoming a victim, how to contact your state securities regulator and file an investment-related complaint, and an "Investor Bill of Rights."
   Sarbanes-Oxley Act of 2002 (University of Cincinnatti College of Law)
H.R. 3763. 66 pages.
   Wex: Securities Law (Legal Information Institute)
   Small Public Company Forum (A consortium of professional firms)
"An ongoing forum geared specifically toward smaller reporting companies."

Initial efforts include a seminar held in June 2009 with archived session podcasts and materials, along with ongoing information.

Participating firms:

  • Baker Tilly Virchow Krause, LLP
  • Carver Moquist & O'Connor, LLC
  • Feltl and Company
  • Internal Control & Anti-Fraud Experts, LLC
  • Maslon Edelman Borman & Brand, LLP

See also:
  • Buying or Selling a Business
  • Corporate Governance
  • Financial Industry Regulatory Authority - FINRA
  • Franchise Law
  • Fraud and Misrepresentation
  • Securities and Commodities Forms & Documents
  • U.S. Securities and Exchange Commission
  • Similar resources in our Minnesota Legal Reference Library
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