The purpose of this memorandum is to review certain reporting and disclosure requirements, and certain restrictions that may limit the disposition of securities of the company held by its officers, directors and principal shareholders, which are imposed by the Securities Act of 1933, the Securities and Exchange Act of 1934, and the rules of the Securities and Exchange Commission thereunder. This memorandum is prepared for the management of the company and should be treated as a confidential communication between the company and its counsel.
Vermont Limitation on Disposition of Securities Memorandum
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US-TC1015
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FAQ
The statute of limitations for an administrator taking action is five years. An investor who sues for a violation of the Uniform Securities Act is entitled to receive: The value that they paid for the securities minus any income received during the holding period (for example, dividends)
Section 403 of the Uniform Securities Act specifically states, "a person without a place of business in this state if the person has had, during the preceding 12 months, not more than five clients that are resident in this state".
Some of the most common examples of exempt securities are those issued by federal or state governments, securities offered to a limited number of investors, securities offered only in a limited geographic area, or those being offered only to accredited investors.
The Securities Act of 1933 is the federal law that requires that securities sold to the public be registered with the SEC and that complete information about the seller and the stock offering is made available to investors. The Securities Act of 1934 regulates the operation of stock exchanges and trading.
Section 202 of the Uniform Securities Act states, "Registration of an investment adviser (firm) automatically constitutes registration of any investment adviser representative who is a partner, officer, or director, or a person occupying a similar status or performing similar functions.