Delaware Securities Litigation and Arbitration Lawyers

In Delaware, investors have rights and protections under numerous laws and regulations.

The Delaware Securities Act is a state law that regulates the offer and sale of securities in Delaware. The Act is designed to protect investors from fraud and to ensure that they have access to accurate information about securities before they invest.

The Delaware Securities Act requires that all securities offered or sold in Delaware be registered with the Delaware Department of State, Division of Corporations (DSC), unless an exemption applies. The exemptions are designed to allow for the sale of securities without registration in certain limited circumstances, such as when the securities are offered to a small number of investors or when they are offered through an established securities exchange.

The Delaware Securities Act also prohibits certain fraudulent and deceptive practices in connection with the sale of securities. These prohibited practices include making false or misleading statements about a security, omitting material information about a security, and engaging in manipulative or deceptive trading practices.

The DSC and private attorneys are responsible for enforcing the Delaware Securities Act. The DSC has the authority to investigate violations of the Act, to bring civil and criminal actions against violators, and to revoke the registration of securities professionals.

Here are some of the key provisions of the Delaware Securities Act:

• Securities must be registered with the DSC before they can be offered or sold in Delaware.

• There are a number of exemptions from registration, such as for securities offered to a small number of investors or through an established securities exchange.

• Fraudulent and deceptive practices in connection with the sale of securities are prohibited.

Here are some additional resources:

• Delaware Department of State, Division of Corporations: https://corp.delaware.gov/

• Uniform Securities Act: https://www.uniformlaws.org/committees/community-home?CommunityKey=8c3c2581-0fea-4e91-8a50-27eee58da1cf

In addition to the Delaware Securities Act, the below federal laws offer protections for investors:

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

Contract our law firm to discuss your rights and options for recovering investment losses.