Walden University The Securities Act of 1933 Discussion

I’m working on a business law writing question and need a sample draft to help me understand better.

As a result of the stock market crash of 1929, new legislation was passed with the goal of providing greater regulation of the offering and trade of securities, such as stocks and bonds. As part of the legislation, the Securities and Exchange Commission (SEC) was established. The goal of this agency is to provide consumers with increased information for decision making, regulate trading in securities, and guard against fraud.

Using the information presented in the scenario below respond to the following in a 1- to 2-page paper:

Mark is a San Francisco businessman who owns an older motel on the shore of Lake Tahoe in Nevada. The motel next door to his, also on older motel, recently came onto the market for sale. Both of these motels have a relatively large amount of land. The restaurant and lounge areas of each contain a few slot machines, and Mark’s motel has a poker table, but there is currently no other gambling at either location. Mark is considering buying the motel next door, and using the combined premises to open a luxury resort and casino. He has not yet decided whether he will remodel the current buildings, or demolish them and start from scratch. Mark plans to invest a couple of million dollars of his own, but will need to raise around $50,000,000 to get this venture going.

  • Discuss Mark’s options in raising this money.
  • What options would subject Mark to the Securities Act of 1933?
  • Could Mark qualify for any exemptions under the securities laws?
  • If so, which exemptions might he qualify for?
  • If Mark is subject to the Securities Act of 1933, with what general requirements must he comply?

Required Readings

Miller, R. (2014). Business law today: The essentials (10th ed.). Mason, OH: Cengage Learning. Chapter 21, “Investor Protection, Insider Trading, and Corporate Governance”
This chapter reviews the historical development of policies to regulate the securities exchange and protect investors from fraud and inside trading. You will focus on the Securities Act of 1933 and the Securities Exchange Act of 1934 and how they established legal guidelines that continue today.

Complete Book Link: https://www.chegg.com/reader/9781285545844/640/

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