Understanding Saint Louis Investment Laws
Generally speaking, investments are finances/money put into various uses in order that a profit may be made. It can be property, both movable and immovable, real estate, like land rights, leases, or business interests, or monetary assets, stocks and other securities, etc. With this is mind, the investor, seeking to make a profit, needs protection from those who may commit different types of fraud. The Saint Louis law attorneys of the Goldblatt Law Firm are frequently asked many questions about investment laws, because of our experience and knowledge on the subject.
The world of investing is simply put…money. Nothing more simple, and nothing more complicated! From learning about investing, to banking, to types of investments, types of companies and brokers accordingly, is the complexity of legal issues that ensues. The higher the risk of the investment the more profit one can gain. The lower the risk, the less money you can make. But the problems come when you lose – no one is happy then. Diversifying is key and yet complicated; complicated not only under finance but under law as well.
Today, the world market is in such a fragile state, which makes world finance even more complicated. The lines between saving and investing are becoming more blurred. And the rules are equally blurry to say nothing of their complexities.
If you are a corporation you should be aware of Missouri’s securities laws. These can be found under the Missouri Securities Act of 2003. All securities must be registered appropriately and any violation may be considered a criminal offense.
This registration process and law included a “merit review” by the Commission of Securities. Simply put, it is a review to make sure things are being handled in a fair and just manner. Of course, whenever there is a rule there is the exemption. Our attorneys are well versed in all these rules and regulations for not only the individual investor, but the small business and larger corporations as well. Under Missouri law, federal securities may also be sold, following the regulations set down in the Missouri Securities Act of 2003. In a wish to prevent fraud, the Act also requires the seller of any security to make certain disclosures. Should the regulations not be followed accordingly, there are various penalties from payments to imprisonment.
Investment Issues: What’s involved?
At the Goldblatt Law Firm, we approach these issues by first becoming familiar with our clients' businesses. We then review the laws that affect them personally. Our team of attorneys take a look at both state and federal rules and regulations from the SEC, SROs and ERISA, etc. We can help provide solutions to taxes, governance, reporting, securities, and intellectual property challenges that may arise during the course of operations. We can advise on the day-to-day operational matters, some of which include regulatory filings and compliance issues.
Beyond this our attorneys can deal with the more complex issues that may arise:
- Acquisitions and consolidations
- The formation and registration of funds with the SEC
- Preparation of responses to any regulatory investigations
- Assisting in the complex structuring of entities under the Investment Company Act of 1940
- Litigation Issues regarding (mutual funds) Section 36(b)
- Counseling the independent directors
- Counseling on regulatory matters - NYSE, SEC, (and all other agencies)
- Designing or re-designing a compliance program for investment advisers and companies
- Counseling on the issues revolving around pension plan accounts, wrap fee programs, etc.
How do things work in Saint Louis?
Our attorneys are here to help you through the entire process of dealing with investment laws. One of our practice areas is that of investments and protecting the investor and the investment groups.
Let’s review some basic points that one needs to understand. First, what you need to know about investing. Second, how to protect yourself from issues of fraud. Third, when something goes wrong, what to do.
First: What you need to know about investing…
- There is always risk involved. ALWAYS! But there are levels to risk.
- Ask questions before you invest. (Investments can be anything from stocks, bonds, mutual funds, etc.)
Second: Protecting one’s self from fraud…
- The attorneys at Goldblatt are here for this purpose. We know what to look for and how to understand all the complexities of the laws, that’s our job.…
- Look for warning signs, understand your own account, review your trades and statements, etc.…
Third: When something goes wrong…
- Contact us for help and we will personally review all of your information and advise you accordingly.
- We will deal with the appropriate agencies, laws, and forms that must be filled out. The attorneys are well versed in financial matters and regulations to not only advise how to get out of your present predicament but also advise you on the right road to stay on.
- Who to trust when things go wrong? Come and meet with us and let us show you why you can trust us when you no longer know who to trust. We only have your best interests at heart. We represent you.
Call the Goldblatt Law Firm at 314-288-8455 or complete our quick contact web form if you have any questions about securities or investments.