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
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.
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