Securities of the States and Private Entities

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US-5THCIR-CR-2-23A
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Securities of the States and Private Entities

Securities of the States and Private Entities are financial instruments issued by state and local governments, as well as private entities, to raise capital for a variety of purposes. These securities can include bonds, notes, debentures, and other instrument types such as commercial paper, preferred stock, and common stock. They are generally offered to the public in a series of offerings, with maturities ranging from short-term to long-term. Types of Securities of the States and Private Entities include: • Government Bonds: These are debt instruments issued by state and local governments to raise capital for public projects or to cover budget deficits. • Municipal Bonds: These are debt instruments issued by cities or other local government entities to finance public projects such as infrastructure development, schools, and public services. • Corporate Bonds: These are debt instruments issued by private companies to raise capital for business operations. • Preferred Stock: This is a type of security that pays investors a fixed dividend and has priority over common stock in the event of liquidation. • Common Stock: This is a type of security that represents ownership in a company and grants investors voting rights and potential dividends. • Commercial Paper: This is a short-term debt instrument issued by companies to raise capital for working capital or other needs. • Notes: These are debt instruments issued by state and local governments, as well as private entities, with maturities ranging from short-term to long-term.

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FAQ

In general, all securities offered in the United States must be registered with the SEC or must qualify for an exemption from the registration requirements.

Anyone working and operating in the securities industry must practice SEC compliance. This includes: Companies that are selling securities, as defined by the SEC. Officers, directors, and principal stockholders of publicly owned companies.

Certain types of securities and certain transactions are deemed by the SEC to be exempt from registration requirements. Exempt Security - Common types of exempt securities are government securities, bank securities, high-quality debt instruments, non-profit securities, and insurance contracts.

Unlike public companies, private companies are not required to file with the Securities and Exchange Commission (SEC), so the type of information and the depth of information that can be found in those documents is not necessarily going to be available for private companies.

Title 18 U.S.C. § 513(a) makes it a federal crime to make, utter, or possess a counterfeit security of a state (or a political subdivision thereof) or an organization.

Whoever makes, utters or possesses a counterfeited security of a State or a political subdivision thereof or of an organization, or whoever makes, utters or possesses a forged security of a State or political subdivision thereof or of an organization, with intent to deceive another person, organization, or government

More info

Title 18 - CRIMES AND CRIMINAL PROCEDURE PART I - CRIMES CHAPTER 25 - COUNTERFEITING AND FORGERY Sec. Does the SEC regulate private companies?Searchable text of the 18 USC 513 - Securities of the States and private entities (US Code), including Notes, Amendments, and Table of Authorities. A foreign individual or entity claiming that income is effectively connected with the conduct of trade or business within the United States. McAfee Antivirus now includes identity theft protection and VPN for online privacy. Complete online protection for you and your family. Proudly working for the people of Georgia to secure elections, and promote strong business policies. §816. Relation to State laws §817. Exemption for State regulation §818. See the full text of the Securities Act of 1933 .

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Securities of the States and Private Entities