Florida Employee Stock Option Prospectus

State:
Multi-State
Control #:
US-TC0914
Format:
Word; 
PDF; 
Rich Text
Instant download

Description

The employee stock option prospectus explains the stock option plan to the employees. It addresses the employee's right to exercise the option of buying common stock in the company, along with explaining the obligations of the employee where taxes and capital gains are concerned.

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How to fill out Employee Stock Option Prospectus?

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FAQ

Florida Statute § 517.301(1)(a)(1)-(3) makes it unlawful for any person in connection with the offer, sale or purchase of an investment or security to (1) to employ any device, scheme, or artifice to defraud; (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a ...

The SEC primarily enforced this anti-fraud provision under Rule 10b-5, which prohibits the use of any "device, scheme, or artifice to defraud." Rule 10b-5 also imposes liability for any misstatement or omission of a material fact, or one that investors would think was important to their decision to buy or sell a ...

Blue sky laws typically require various forms of registration in order to deter fraud. Most brokers, brokerage firms, and securities issuers must be registered with the state securities agency. Likewise, most securities sold within a state (unless falling within an exemption) must be registered.

Many prosecutions in criminal court are triggered by an administrative investigation of the Florida Department of Financial Services, Office of Financial Regulation (OFR) with the Bureau of Financial Investigations.

SEC enforcement is civil and can result in civil penalties only (fine, injunction, etc). Federal prosecution, however, is criminal. Therefore, the penalty can include a sentence in federal prison.

Section 17(a) of the Securities Act of 1933. Willful violations of this provision are considered felonies and can subject the individual to a fine of not more than $10,000, five years imprisonment, or both.

Section 5(a) and (c) of the Securities Act make it unlawful to offer or sell a security in interstate commerce unless a registration statement has been filed or the transaction qualifies for an exemption from registration. Section 5 of the Securities Act is a strict liability statute.

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Florida Employee Stock Option Prospectus