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Regulatory News


SEC Issues Concept Release Seeking Comment on Structure of Equity Markets SEC Issues Concept Release Seeking Comment on Structure of Equity Markets

SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations

SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls

SEC Charges California Telecom Company With Bribery and Other FCPA Violations

SEC Freezes Assets of French Citizens Within Days of Insider Trading

SEC Charges Austin-Based Investment Adviser in Fraudulent Scheme Utilizing Football Stars

FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Offering Failures

SEC Charges U.S. Subsidiary of World's Largest Inter-Dealer Broker for Displaying Fictitious Trades and Misleading Customers SEC Charges California Firm and CEO With Defrauding Customers in Sales of Risky Mortgage-Backed Securities

SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments in Personal Injury Settlements

FINRA Expels Meeting Street Brokerage, Bars Broker, Sanctions Firm's Owner for Market Manipulation, Other Violations

SEC Charges Former Officers of Subprime Lender New Century With Fraud

SEC Obtains Asset Freeze Against Co-Founder of Canopy Financial in $75 Million Offering Fraud

FINRA Fines Terra Nova Financial $400,000; Firm Made Over $1 Million in Improper Soft Dollar Payments


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NEW AND IMPROVED SECURITIES LAW FORUMS! Every day the discussions continue in the Securities Law Forums, where attorneys, investors, brokers, journalists and others with an interest in the markets, and the laws surrounding the markets, discuss hot topics of the day. View the active topic list, or go directly to the forums.


Welcome


Featured Articles

Introduction to Securities Arbitration
Updated for 2014. Veteran securities arbitration attorney Mark Astarita's Securities Arbitration Overview. Downloaded tens of thousands of times, one of our most popular articles. Virtually all disputes between customers and firms, and between brokerage firms, are resolved in binding arbitration. Mark Astarita has represented parties in hundreds of these arbitrations. This walkthrough of the process takes the reader step by step, from start to finish.

Investigation of Claims Regarding UBS Puerto Rico Bond Funds Investors with accounts at UBS Financial Services Puerto Rico were encouraged to invest in a number of UBS owned and managed, leveraged municipal bond funds and have now suffered losses of staggering sums of money.

Registration and Regulation of Investment Advisors Less FINRA regulation, less wirehouse pressure. Starting an independent registered investment advisory firm is the solution for some. You will need an experienced securities attorney to assist, but the process is not that difficult.


News and Commentary

[an error occurred while processing this directive] Featured Articles

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
Updated for 2014. Veteran securities arbitration attorney Mark Astarita's Securities Arbitration Overview. Downloaded tens of thousands of times, one of our most popular articles. Virtually all disputes between customers and firms, and between brokerage firms, are resolved in binding arbitration. Mark Astarita has represented parties in hundreds of these 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. Private placements are used by private and public companies to raise capital, as well as by hedge funds and private equity funds to accept investor funds. 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.


Beam & Astarita, LLC 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 on the web. A list of articles and commentary from the firm is also available.

Introduction to Securities Arbitration - The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process. More

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. 

The securities law listserve is available to all interested parties, and discussions of all topics relating to the law of the financial markets are welcome and encouraged. Once you subscribe, messages from the list will come to your email box for reading and comment. To subscribe to the list, browse to http://lists.washlaw.edu/mailman/listinfo/securitieslaw-l and enter your email address. To post a message to the list, send the message to: securitieslaw-l@lists.washlaw.edu

We are looking for suggestions for the site, and for future commentary. Just drop us an email Vist the Securities Arbitration Center


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