Securities & Exemptions 101


Whether you are an entity selling stock, borrowing money or even compensating certain employees, chances are you are issuing securities. Barring an available exemption, the Securities Act of 1933 requires that all offers and sales of securities must be registered with the SEC, a cumbersome, onerous and expensive process that is simply not feasible for most simple securities transactions. This course provides an overview of available exemptions from registration, setting forth ways to legally issue stock when raising money, hiring “sweat equity” and other circumstances without triggering the burdensome registration requirements.

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