Explain the Law on Securities Offerings

Feb 10th, 2014
Sigchi4life
Category:
Business & Finance
Price: $10 USD

Question description

Federal law requires certain material information be disclosed related to the offering of securities. Address the responsibilities of each of the parties listed below for ensuring quality, fairness and accuracy for securities offerings. Which party or parties bears the most responsibility?

  • Managers and directors of the issuing company
  • Investment bankers
  • Securities lawyers

Even though the SEC provides regulatory oversight regarding securities, should the parties engage an independent company to oversee the offering of securities?  If so, at whose expense? If not, why?

Submit your answers in a 2- to 3-page Microsoft Word document.

 

 


Analyzed and described who among the following should bear the responsibility for ensuring the quality and fairness of an offering:

  • Managers and directors of the issuing company
  • Investment bankers
  • Securities lawyers


Analyzed and determined whether an independent agency should be appointed to oversee such offerings and specified at whose expense should it be done.



Properly cited sources using the APA format.





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