Featured Articles

Tips for Responding to an SEC Subpoena. Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is true whether you are a market professional, the CEO of a regulated entity, or an investor. How you respond to the initial inquiry, and how you manage the events as the investigation continues often determines the outcome of that investigation.

Parking Stock Is Illegal. It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the “ordinary course of business” is actually a securities law violation, with significant consequences.

Securities Law Commentary

The Securities and Exchange Commission today announced that C. Dabney O’Riordan has been named co-chief of the Division of Enforcement’s Asset Management Unit, a national specialized unit that... Read more...
The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.  The... Read more...
The Securities and Exchange Commission today announced it adopted rules to require resource extraction issuers to disclose payments made to governments for the commercial development of oil, natural... Read more...
The Securities and Exchange Commission voted today to propose amendments that would increase the financial thresholds in the “smaller reporting company” definition.  The proposal to update the... Read more...
Lessons Learned: You cannot ignore an arbitration complaint. You will lose, and the award will become a judgment. Plus - FINRA's two year jurisdiction retention does not limit your arbitration... Read more...

Introductions and Primers

Introduction to the Federal Securities Laws An introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934

Introduction to the Blue Sky Laws (State Securities Laws) Each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as “blue sky laws.”

Introduction to Securities Arbitration Veteran securities arbitration attorney Mark Astarita’s Securities Arbitration Overview. Downloaded tens of thousands of times, one of our most popular articles. Mark Astarita has represented parties in over 600hese arbitrations. This walkthrough of the process takes the reader step by step, from start to finish.

Insider Trading – The Legal and Illegal The term “insider trading” refers to two types of trading, one that is legal, and the other that is not. An overview of the illegal type of insider trading.

Introduction to Private Placements Securities offerings which are not made to the general public are called private placements, and are exempt from registration with the securities regulators.  A description of the exemption, and the private placement process.

Registration and Regulation of Investment Advisers An overview of the requirements and procedures for registration of investment advisers and hedge fund managers.

Guide to Broker-Dealer Registration We updated and improved the SEC’s original guide. This article is a comprehensive guide to the registration process to create and manage a securities broker-dealer.

Sallah Astarita & Cox, LLC is a securities law firm which represents all participants in the financial markets in arbitration, litigation and regulatory matters, and continues to provide commentary and analysis for SECLaw.com. Visit their site.

A list of articles and commentary from the firm is also available.

Links to these stories and all new additions, are contained in the current issue of the Securities Law Letter. Stop jumping from Web site to Web site to keep up with the developments in the securities law, we’ve done it for you, and present it in the Securities Law Letter.

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Visit the Securities Arbitration Center and New York Securities Lawyer.

If you are involved in any securities law claim, including fraud, mismanaged account allegations, selling away, suitability, or any other issue, contact our office and let us determine if we can assist you. Call for a free consultation. On a mobile phone? Call now!

Copyright © 1995-2016 VGIS Communications and Mark J. Astarita. All Rights Reserved. This site is for educational purposes only. Nothing contained herein should be construed as legal or financial advice. Consult your attorney or financial adviser for advice for your particular situation. This site is intended to provide information to the public, but may be deemed by the New York Courts to be an advertisement. If so, we are required by New York Court Rule 1200.7 to state “Attorney Advertising. Prior results do not guarantee a similar outcome.” This site is sponsored by securities lawyer Mark J. Astarita and the securities law firm of Sallah Astarita & Cox, LLC, with offices in New York, New Jersey and Florida.