What is a private securities transaction?

Answer A private securities transaction occurs when an employee participates in executing a securities' transaction independent of his employer, but with prior written approval from his employer.Rule 3040... Read More »

Top Q&A For: What is a private securities transaction

The Four Documents Required for a Private Lending Transaction?

From a technical legal perspective, a private lending transaction does not necessarily require any written documentation. A verbal agreement to loan money is generally enforceable in every state in... Read More »

What Is a Registered Representative of Securities LLC?

The securities industry manages 401k plans and other retirement programs, so it's a highly regulated industry. All individuals presenting and selling securities must be licensed as a registered rep... Read More »

What are debt securities called?

Debt securities are debt instruments, which can be bought or sold between numerous parties. Debt securities are issued when investors lend money to an entity and receive interest payments in return... Read More »

What is an ACH transaction?

An ACH transaction is a direct electronic transfer of funds from one bank to another. The term ACH stands for automated clearing house, and all ACH transactions are processed through an electronic ... Read More »