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Regulatory News SPONSORING AN EVENT? If you are the sponsor of a seminar or educational event that relates to securities law, or the regulation of the markets, post the information here at the Securities Law Events Calendar. Access to the calendar is free, the posting is free, and your target audience, attorneys, brokers and investors, are here. 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 Investors Sue UBS Over Willow Fund In October 2012 investors were informed that the Willow Fund would be liquidated, after having sustained substantial losses. In a recent New York Times article on the UBS Willow Fund, it was reported that the fund had suffered losses of approximately 80% in the first three quarters of 2012 after its manager made a radical change in investment strategy and “piled into some colossally bad derivative trades.” “The investors, some of whom hadn’t realized they were holding a portfolio filled with risky bets against the debt of European nations, were stunned,” says the article. Investors in the Willow Fund should consult with an attorney regarding possible recovery of their losses. For more information on the Willow Fund arbitrations, see the SECLaw Blog post on the fund. Introduction to Securities Arbitration Securities arbitration attorney Mark Astarita's walkthrough of the arbitration process, start to finish. Who better to describe the process than a securities lawyer who has represented parties in over 600 securities arbitrations? 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 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 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, and has been downloaded and read tens of thousands of times. 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	UBS Willow Fund Investors Securities Attorney Securities Laws, Rules and Regulations SECLaw Bookstore SECLaw Blog SECLaw News Update Search The Site Securities Law Event Calendar Register Questions? Comments? 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