Steele T. Williams Law Blog

Variable annuities are subject to legal requirements.

Thursday, December 16, 2010 by Steele T. Williams

Variable annuities are subject to legal requirements.... Read More
Posted at 07:35 AM  |  PERMALINK
Topic: Securities

Fiduciary Duty

Tuesday, July 27, 2010 by Steele T. Williams

Fiduciary duty analysis is the stockbroker / investor relationship. ... Read More
Posted at 15:27 PM  |  PERMALINK
Topic: General Practice

Purpose of Securities Laws

Tuesday, July 27, 2010 by Steele T. Williams

Purpose
of the Securities Laws



 



            The basic purpose of the securities laws "was to
substitute a philosophy of full disclosure for the philosophy of caveat emptor
and thus to achieve a high standard of business ethics in the securities
industry."  SEC v. Capital Gains
... Read More

Posted at 15:24 PM  |  PERMALINK
Topic: Securities
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