Securities Law News

The Securities and Exchange Commission will hold a meeting of the Equity Market Structure Advisory Committee on August 2, beginning at 9:30 a.m. EDT.  The Commission established the advisory... Read more...
The Securities and Exchange Commission today announced an asset freeze it has obtained against three men who aren’t registered to sell investments and allegedly went on lavish shopping sprees with... Read more...
From the Securities Arbitration Commentator - first served wins the race to the courthouse. See the full article at  You Got Served!, Court Tells Opponents of Vacatur Petition: Read more...
The Securities and Exchange Commission today announced that State Street Bank and Trust Company has agreed to pay $382.4 million in a global settlement for misleading mutual funds and other custody... Read more...
Professor Jill Gross' column on FINRA's position regarding broker-dealers' use of forum selection clauses to avoid FINRA arbitration Last Friday, FINRA issued Regulatory Notice 16-25 reminding... Read more...

Featured Articles

Broker Pays the Price for Ignoring Arbitration. 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 agreement.

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.

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 600 arbitrations. This walk through 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.
SEC Law Firm – don’t be fooled by imitators. There is only one law firm that created

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 Visit their site.

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