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Binary Options And Securities Regulation

Recently, the North American Securities Administrators Association (NASAA) updated and expanded its 2015 advisory warning investors about online binary option schemes.  NASAA offers the following explanation of "binary options":

A binary option is...

California Securities Laws, Nasaa, North American Securities Administrators, Section 25019, Section 3(a)(10), binary options, Section 2(a)(1), security

District Court Rules Plaintiff Failed To Plead Real Estate Investment Was A "Security"

Both the Securities Act of 1933 and the California Corporate Securities Law of 1968 provide similar, but not the same, definitions of a "security".  See Making A List Of Securities And Checking It Twice.  Although these lists are expansive, courts...

Corporate Securities Law, investment contract, motion to dismiss, SEC v. Howey, Section 25019, Securities Litigation, Roger T. Benitez

Court Finds Promissory Notes Are Not Securities

Yesterday's post concerned the Court of Appeal's decision in People v. Black, 2017 Cal. App. LEXIS 130 (Cal. App. 6th Dist. Feb. 16, 2017).  The case involved the criminal prosecution of an individual for making false statements in connection with...

California Securities Laws, Marine Bank v. Weaver, promissory notes, Section 25019, Court of Appeal, howey, People v. Black, Silver Hills

Must A Security Be Written?

In yesterday's post, I covered some of the differences between the laundry lists of securities found in the California Corporate Securities Law of 1968 and the Securities Act of 1933.  Both lists seem to contemplate instruments that are written. ...

California Securities Laws, Section 25019, definition of security, Section 8, writing

Making A List Of Securities And Checking It Twice

California Corporations Code Section 25019 defines "security" not by saying what a security is but by providing examples of numerous types of securities.  In this respect, Section 25019 is reminiscent of Section 2(a)(1) of the Securities Act of...

California Securities Laws, Section 25019, security definition, Section 2(a)(1)

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
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