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
to Securities Arbitration - Today,
nearly all disputes between customers and firms, and between brokerage
firms, are resolved in binding arbitration. An overview of the process,
from Mark Astarita.
to Private Placements -stock
offerings which are not made to the general public are called private
placements, and are exempt from registration with the securities regulators.
A description of the exemption, and the private placement process.
The Securities Enforcement Manual, Second Edition: Tactics and Strategies
- Published by the American Bar Association, this new Second Edition completely
updates the first edition published in 1997. Included is comprehensive
coverage to proven approaches and techniques for dealing with an enforcement
threat from the SEC, self regulatory organizations, or state securities
regulators. It takes you step-by-step through enforcement investigations
and proceedings, providing you with strategies to influence the outcome
of an investigation and prevent or minimize the adverse effects of enforcement
Bainbridge's Insider Trading Law and Policy
- "This compact text is for use in law school classes on insider trading, securities regulation, or business associations. It offers a clear and direct exposition of the law and policy concerns raised by this important and high-profile area of the law. The author provides sufficient detail for a complete understanding of the subject without getting bogged down in minutiae. Faculty interested in teaching a short course on insider trading or making insider trading a major part of a course in securities or corporate law will find the text highly teachable, while student staking such a course using other materials will find it a useful study aid." Amazon.com
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.
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 email@example.com.
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