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Introductory Materials for Investors

Introduction to the Federal Securities Laws
An introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934

Introduction to the Blue Sky Laws (State Securities Laws)
Each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as "blue sky laws."

Introduction to Securities Arbitration
Updated for 2014. Veteran securities arbitration attorney Mark Astarita's Securities Arbitration Overview. Downloaded tens of thousands of times, one of our most popular articles. Virtually all disputes between customers and firms, and between brokerage firms, are resolved in binding arbitration. Mark Astarita has represented parties in hundreds of these arbitrations. This walkthrough of the process takes the reader step by step, from start to finish.

Insider Trading - The Legal and Illegal
The term "insider trading" refers to two types of trading, one that is legal, and the other that is not. An overview of the illegal type of insider trading.

Introduction to Private Placements
Securities offerings which are not made to the general public are called private placements, and are exempt from registration with the securities regulators. Private placements are used by private and public companies to raise capital, as well as by hedge funds and private equity funds to accept investor funds. A description of the exemption, and the private placement process.

Recommended Books

Personal Finance For Dummies - From Amazon - "Personal Finance for Dummies offers sound and practical advice for those who want to get control over their personal financial lives. Author Eric Tyson points out the most common mistakes that we all make in our approach to money and prescribes ways to save and invest for a secure future. Using worksheets, the book helps you to measure your own financial health by looking at factors such as how much debt you carry, your savings rate, as well as investment and insurance checkups. The book looks at how you should invest your retirement account, approach taxes, and provides a good overview on how to buy real estate."

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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 Sallah Astarita & Cox, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at mja@sallahlaw.com.

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