New Jersey Securities Litigation and Arbitration Lawyers

New Jersey investors have rights and protections under numerous laws and regulations ncluding:

The New Jersey Uniform Securities Act (NJUSA) is the state law that regulates the sale of securities in New Jersey. It is administered by the New Jersey Bureau of Securities, which is part of the New Jersey Division of Consumer Affairs.

The NJUSA is designed to protect investors from fraud and to ensure that investors have access to accurate information about the securities they are considering purchasing.

The NJUSA requires that all securities offered for sale in New Jersey be registered with the Bureau of Securities, unless the securities or transactions are exempt. Exempt securities include:

• Securities issued by the United States or the state of New Jersey

• Securities issued by certain banks and other financial institutions

• Securities issued by certain non-profit organizations

• Securities offered in certain private transactions

The NJUSA also requires that all broker-dealers, agents, and investment advisers who offer or sell securities in New Jersey be registered with the Bureau of Securities.

Some of the key provisions of the NJUSA include:

• Registration of broker-dealers, agents, and investment advisers: All broker-dealers, agents, and investment advisers who offer or sell securities in New Jersey must be registered with the Bureau of Securities.

• Anti-fraud provisions: The NJUSA prohibits fraud and other unfair practices in the sale of securities.

• Enforcement: The Bureau of Securities is responsible for enforcing the NJUSA. The Bureau can investigate alleged violations of the law and take enforcement actions, such as issuing cease-and-desist orders and imposing fines.

Investors also have protections under the following federal laws and regulation:

• 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

To discuss your rights under New Jersey or federal securities law, schedule a consultation with our law firm.