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MONTHLY NEWSLETTER Every month SECLaw.com publishes a newsletter containing the latest news, information, regulatory updates and commentary from the site, and the entire web. Subscriptions are free, simply give us your email address.

's Featured Articles, Books and Related Sites:

Featured Books - Securities Law in a Nutshell and Broker-Dealer Regulation in a Nutshell are excellent introductions to the law that affects your business. If you are an Investment Advisor, you might be interested in Investment Adviser Regulation: A Step-by-Step Guide to Compliance and The Law

Registration of Investment Advisors - what you need to know to start an advisory firm

Guide to Broker-Dealer Registration - an updated version of the SEC's original guide is now online.

Securities Law Blogs

Securities Industry News

Introductory Materials

Introduction to the Federal Securities Laws

Introduction to the Blue Sky Laws (State Securities Laws)

Introduction to Securities Arbitration

Introduction to the Initial Public Offering Process

Introduction to Private Placements

Introduction to Insider Trading


Amazon.com makes it easy to order books online, and we have compiled what we believe to be the most useful books for the brokerage legal and compliance officer in the Compliance and Law Department at the SECLaw.com Bookstore.

The Law of Securities Regulation - from West Publishing, an excellent introduction and overview of the securities laws. This is a "hornbook", books written for law students to introduce a new subject. Excellent reference material for layman, compliance officer or an attorney seeking an introduction to the subject. With full citations, attorneys can quickly locate the major cases on a particular topic and obtain additional information.

Securities Regulation in a Nutshell (6th ED) - This book summarizes the essential background and current status of each major area, while keeping details and citations to a minimum. It includes references to the relevant statutes, SEC rules and releases, and other governmental materials, as well as to "leading cases."

Statutes and Rules

The Securities Act of 1933
and the '33 Act Rules and Forms

The Securities Exchange Act of 1934
and the 34 Act Rules and Forms

Investment Company Act

Investment Advisor's Act

Securities Investor Protection Act of 1970

Public Utilities Holding Company Act  

National Securities Markets Improvement Act of 1996 

The Regulators








Securities Law Blog

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Mark Astarita

Beam & Astarita, LLC

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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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