Home > Legal Research > Securities Securities law is the branch of law encompassing federal and state statutes, as well as Securities and Exchange Commission regulations, governing the purchase and sale of securities. For example, requirements under the Securities Act of 1933 are designed to provide investors with financial information concerning the initial public offerings of securities and to prohibit misrepresentation in the sale of securities, including prospectuses and the registration of securities. Violations of securities laws are usually prosecuted as white collar crimes. Individual investors are commonly required by their customer agreements to resolve claims against their stockbrokers through arbitration.

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Initial Public Offerings Securities