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Investment Adviser's Legal and Compliance Guide

Featured Articles, Books and Related Sites:

SEC Law.com IPO Information Center

Introductory Materials:

Introduction to Federal Securities Laws Introduction to Blue Sky Laws (State Securities Laws)

Introduction to Securities Arbitration

Initial Public Offering Process
Introduction to Private Placements Introduction to Insider Trading

Featured Books:

Hedge Fund Disclosure Documents Line by Line: A User's Guide to Private Placement Memoranda for Funds Formed as Limited Liability Companies - a walkthrough of a private placement memorandum for a hedge fund, but the concepts are applicable to any private placement memorandum.

Regulation of Securities: Sec Compliance and Practice - Securities compliance handbook for public companies, and those responsible for their compliance issues. This is not an academic treatise, it provides straightforward answers to real-world questions.


 

 

 


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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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