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's 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.


Commentary

Regulation, Not Growth, Is Top Concern for RIAs
Market turmoil nearly always generates more regulation for the most heavily regulated industry in the nation. Now investment advisors have become the focus, and it is causing problems for the industry.

Smaller RRs Being Forced Out
Wirehouses are forcing smaller producers out of the firm with lower payouts and increasing demands.

Feeder Fund Manager Charged with Madoff Fraud
The manager of a Madoff feeder fund has been charged with civil fraud by the New York Attorney General's office for steering 2.4 billion dollars to Madoff.

 

 

 


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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 financial professionals in a wide variety of matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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