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2. U.S. Securities and Exchange Commission The Financial Industry Regulatory Authority Office of Investor Education and Advocacy The Securities Exchange Commission (SEC) maintains a web site that provides guide to U.S. securities law and an overview of SEC policies and procedures concerning public companies. Click www.sec.gov for the complete SEC site. www.sec.gov/about/admin/investor/faq.htm.
What information should you be aware of when investing in the shares of these companies?
1. Investment Objectives
In general, investment objectives or risks associated with shares of these companies are similar to those of unlisted securities. However, while shares of these companies are being offered publicly, and because an investment consists of no par value securities, there are certain additional risks under U.S. federal securities laws. These risks are discussed below.
2. Investment Interests
Investors in the shares of these companies may have interests in securities other than those lis