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7 Questions with Attorney Christopher H. Tovar  Who are you? I am a lawyer who handles employment cases in the securities industry. Who do you represent? Stockbrokers, also known as FINRA associated persons. What led you to this work? I started in the securities industry as a broker, and got to see how investment […]
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Do you want to invest overseas into Vietnam? Do you want to open an indirect investment account in Vietnam with total confidence?
Foreign investors must open an Indirect Investment Capital Account (IICA) in Vietnamese dong (VND) at a bank licensed for foreign exchange to conduct all securities-related transactions—buying, selling, receiving dividends, and repatriating profits. Before that, you also need a Securities Trading Code from the Vietnam Securities Depository; required documents typically include passport or corporate registration, bank application forms, and sometimes a Power of Attorney.
MEET MR. KEITH LOVELAND My passion to serve has been demonstrated throughout the decades as an attorney, author, consultant, teacher, and expert witness. My service as a teacher spans many years and many subjects. I have taught cybersecurity and privacy law, insurance law, securities law, portfolio construction, and fiduciary practices for many years. For More Info Visit: lovelandconsulting.com
LOVELAND CONSULTING Visit our website lovelandconsulting.com for the latest news on cybersecurity, privacy law, insurance law, securities law, portfolio construction, fiduciary practices and more. Get to know Mr. Keith Loveland, Loveland Consulting CEO & Founder. Keith can translate complex laws and regulations into practical actions. Mr. Loveland can provide persuasive testimony on standard industry practices; pertinent securities regulations and the methods used to calculate and analyze damages.
Understanding Key SEC Regulations
The table below provides a comprehensive comparison of the major SEC securities regulations -Â
Securities Act of 1933Â
Securities Exchange Act of 1934
SOX 404Â Â
Regulation FD
Regulation S-XÂ
Regulation S-K
These regulations work together as an integrated system, with most public companies needing to comply with multiple regulations simultaneously.Â
The 1933 and 1934 Acts form the backbone of US securities regulation, with the 1933 Act focusing on new offerings and the 1934 Act governing ongoing trading and disclosure.
SOX 404 and Regulation FD address specific issues that emerged over time - internal controls and selective disclosure, respectively.Â
Regulations S-K and S-X work together to standardize what companies must disclose (S-K) and how financial information must be presented (S-X). Â
DISCLAIMER: The information provided is intended to educate the readers and a more definite answer should be based on a consultation with a lawyer or CPA. It should not be relied upon as legal advice because the information might be incomplete and answers could change depending upon circumstances and if all facts were known.
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What Is The Process For Expunging My U5? Really, the first step, the second you’re terminated, is to call a lawyer. Better yet, as you feel the water get warmer (insert boiling frog joke here) you should talk over your options for an exit strategy with a lawyer. Whatever your sense of timing, you want […]
There’s No Laughing in Brokerage Being funny at work is a delicate balance of being just funny enough to entertain your coworkers but not so funny that you get sent to HR. These days, funny is OUT! Most of the FINRA broker-dealers you would work for these days have a big stick up their asses […]
Taking a while to get your U5 expunged? Brokers who worked for this bucket shop who got a ding on their U5 on their way out have been getting their U5s expunged some TWENTY YEARS after Continental was expelled in 2024. Nobody from this crappy firm ever shows up to defend it from defamation claims; […]
