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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 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 The Case for Flat Fees For Defense In Securities Arbitration - the defense of customer claims in arbitration can be handled on a flat fee basis. Beam & Astarita, LLC provides the analysis and rationale. Lehman Principal Protected Notes Arbitrations - arbitration claims arising from the marketing of Lehman Principal Protected Notes are on the rise as investors seek recover from other firms and brokers for their losses. Analysis of the issues and the claims by Mark J. Astarita, Esq. SEC Issues Concept Release Seeking Comment on Structure of Equity Markets SEC Issues Concept Release Seeking Comment on Structure of Equity Markets The SEC issued a concept release as part of its review of the equity market structure, voting unanimously to issue a concept release seeking public comment on such issues as high frequency trading, co-locating trading terminals, and markets that do not publicly display price quotations. SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and Assist in Investigations The SEC announced a series of measures to further strengthen its enforcement program and encourage greater cooperation by individuals and companies in the agency's investigations and enforcement actions. SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market Access Controls The Securities and Exchange Commission today voted unanimously to propose a new rule that would effectively prohibit broker-dealers from providing customers with "unfiltered" or "naked" access to an exchange or alternative trading system (ATS). SEC Charges California Telecom Company With Bribery and Other FCPA Violations The Securities and Exchange Commission today charged Alameda, Calif.-based telecommunications company UTStarcom, Inc. with violations of the Foreign Corrupt Practices Act (FCPA) for authorizing millions of dollars in unlawful payments to foreign government officials in Asia. The Window of Opportunity Is Opening Again So Jump! Some good points for brokers looking to change firms from On Wall Street. One point that was overlooked - when signing that deal, whether for $300,000 or $2 million, review your negotiations and the proposed agreements with an experienced securities employment attorney. The firm's "standard" agreement does not include all of the provisions you need, and much of what is in their agreement is negotiable. Wells Fargo Advisors, I'm Not Happy Wells Fargo Advisors FAs are in a house of pain according to Registered Rep Magazine 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	Securities Attorney Securities Laws, Rules and Regulations SECLaw Bookstore SECLaw Blog SECLaw News Update Search The Site Securities Law Event Calendar Register Questions? Comments? Contact Mark Astarita Featured Articles Introduction to the Federal Securities Laws Introduction to the Blue Sky Laws Introduction to Securities Arbitration Insider Trading Private Placements Registration and Regulation of Investment Advisers Guide to Broker-Dealer Registration Check out Laws, Law on Laws.com
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