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Mutual Fund Legal Information Center

Sponsored by Mark J. Astarita, Esq.  


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Featured Books:

Mutual Funds For Dummies, 6th edition - "With straightforward advice and a plethora of specific up-to-date fund recommendations, personal finance expert Eric Tyson helps you avoid fund-investing pitfalls and maximize your chances of success. This revised edition features expanded coverage of ETFs, fund alternatives, and research methods Tyson provides his time-tested investing advice, as well as updates to his fund recommendations and coverage of tax law changes Sample fund portfolios and updated forms show you exactly how to accomplish your financial goals."

The Fund Industry: How Your Money is Managed (Wiley Finance) - "a comprehensive look at mutual funds and the investment management industry, for fund investors, those working in the fund industry, service providers to the industry and students of financial institutions or capital markets. Industry experts Robert Pozen and Theresa Hamacher take readers on a tour of the business of asset management. Readers will learn how to research a fund and assess whether it's right for them; then they'll go behind the scenes to see how funds are invested, sold and regulated. This updated edition expands coverage of the segments of the industry where growth is hottest, including hedge funds, liquid alternatives, ETFs and target date funds-and adds an introduction to derivatives."

Featured Articles

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 Private Placements - hedge funds, and private equity funds, take in investors' money by way of a private placement. Such offerings are exempt from the registration process for offering securities for sale; provided the rules are followed. A description of the exemption, and the private placement process.

Related Blog Posts

Mutual Fund News


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.

Past Articles and Commentary
Every month The Securities Law Home Page brings together commentary and updates from securities law practitioners and regulators. Past articles are collected here in chronological order, or simply search for the topic you are interested in.


Statutes and Rules
















Related Articles

Introduction to Securities Arbitration

Guide to Broker-Dealer Registration

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




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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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