4.1 Securities Laws & Statutory Definitions
10 topics in this chapter.
4.1.1 The USA & Federal Securities Acts4.1.2 Who Counts as a Person4.1.3 Exempt vs. Excluded4.1.4 Issuers & the Howey Test4.1.5 Broker vs. Dealer Capacity4.1.6 Who Qualifies as an Agent4.1.7 The Three-Prong ABC Rule4.1.8 Who Qualifies as an IAR4.1.9 SEC vs. State Administrator4.1.10 What Counts as an Offer or Sale
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