Save Signed Investor Rights Agreement For Free

The Securities and Exchange Commission (SEC) is a U.S. government oversight agency responsible for regulating the securities markets and protecting investors.

U.S. Securities and Exchange Commission (SEC) Regulations Pursuant to its authority under the Securities Exchange Act of 1934, the SEC has adopted an extensive body of regulations that are designed to enhance investor protections in the United States.

A registration right is a right entitling an investor who owns restricted stock to require that a company list the shares publicly so that the investor can sell them. Registration rights, if exercised, can force a privately-held company to become a publicly-traded company.

An investment agreement generally covers the terms of the investment by the investor into the company. It documents a one-off transaction between the investor and the company. In contrast, a shareholders agreement governs the rights and responsibilities of all the shareholders and the company going forwards.

The mission of the Securities and Exchange Commission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

The Laws That Govern the Securities Industry Securities Act of 1933. Securities Exchange Act of 1934. Trust Indenture Act of 1939. Investment Company Act of 1940. Investment Advisers Act of 1940. Sarbanes-Oxley Act of 2002. Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors by making sure the broker-dealer industry operates fairly and honestly. We write and enforce rules governing the activities of all registered broker-dealer firms and registered brokers in the U.S.