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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.

's Featured Articles, Books and Related Sites:


Featured Article - 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.

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

FINRA

NASDAQ

NYSE

AMEX

SEC

CFTC

NASAA











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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