If you answered “Yes” to 1, 2, and 3, then this legislation probably covers the opportunity you are contemplating. You ought to first decide whether or not in fact the vendor has registered with the Office of Securities. Sometimes this can’t be determined for sure without evaluation of the documents. What this legislation doesn’t do, however, is decide whether or not a specific business alternative is an effective or dangerous business choice. The data which the legislation requires to be disclosed is intended to offer the consumer the ability to make that evaluation for him or herself.
Small companies regulated by the Department could direct feedback relating to regulatory enforcement actions to the Small Business Regulatory Enforcement Fairness Act (SBREFA) point-of-contact. The record of agency SBREFA contacts could also be found on the Small Business Administration’s Office of the National Ombudsman’s (SBA/ONO) website. The Department of Justice sales embody the … Read More