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Securities Arbitration Information Center

By Mark J. Astarita, Esq.  


Articles - Statutes - Rules - Decisions - News

Featured Books:

NEW: Loss on Securities Regulation,6th Edition - The gold standard for securities law practitioners. This updated edition gives you quick access to the law of securities regulation as found in Loss, Seligman, and Paredes' 11-volume, landmark treatise Securities Regulation--consolidated into one comprehensive volume. Distilling the essence of Loss, Seligman, and Paredes' 11-Volume master work, this 1,600-page volume reviews and analyzes the most significant aspects of securities regulation and gives you the quick answers you need...when you need them.

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. Although a bit old, it provides 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 actions

Featured Articles

The Case for Flat Fees For Defense of Securities Arbitration Claims

The defense of customer claims in arbitration can be handled on a flat fee basis. Beam & Astarita, LLC provides the analysis and rationale.

Introduction to Securities Arbitration

The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process.

Introductory Articles

Guide to Broker-Dealer Registration - an updated version of the SEC's original guide is now online.

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)- in addition to the federal 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 From securities attorney Mark Astarita,this overview of the securities arbitration process has been downloaded tens of thousands of times, and has been recently updated. Mark has represented parties in over 600 arbitrations across the country.

Introduction to the Initial Public Offering Process - any offer to sell securities must be registered with the federal and/or state securities regulators, or exempt from registration. A description of thelaw, and the registration process.

Introduction 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. However, there are filings to be made and disclosures that must be provided. A description of the exemption, and the private placement process.

Introduction to Insider Trading - insider trading refers to two types of trading, one that is legal, and the other that is not.

Related Blog Posts


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

The Securities Act of 1933
and the '33 Act Rules and Forms

The Securities Exchange Act of 1934
and the 34 Act Rules and Forms

Investment Company Act

Investment Adviser's Act

Securities Investor Protection Act of 1970

Public Utilities Holding Company Act  

National Securities Markets Improvement Act of 1996 

 
















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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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