A restricted stock unit (RSU) is an award of shares that comes with conditions, usually a vesting period before they are ...

A Denver-based investment advisor has agreed to pay a $200,000 penalty for purchasing restricted securities for clients who were not qualified to be put into the products, the SEC announced today.

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An 83(b) election is a provision of the federal tax code that permits a recipient of restricted stock (typically a founder or employee of a startup company) to pay income tax on the fair value at the ...

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If you're an estate planner, you're probably not an expert in securities laws. But you may have clients who are “insiders” of publicly held companies or who own restricted securities — and these ...