Sponsored by Mark J. Astarita, Esq. – representing brokers and investors in securities and employment disputes for 25 years. Have a securities law question? Call his office today – 212-509-6544 or email him

Introductory Materials

Federal Securities Laws -introduction and overview of the cases and statutes that comprise the United States securities laws. Insider trading, stock manipulation, and more.

Blue Sky Laws (State Securities Laws) – introduction and overview of the securities laws of the various states, how they interact with the federal laws, plus links to all of the state securities administrators, statutes and regulations.

Securities Arbitration Overview – 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.

Initial Public Offering Process – going public is only one method of raising capital.

Private Placements – raising capital privately is often the preferred method for many companies, but the process must be carefully managed. With less registration requirements comes more regulation in order to maintain the registration exemption.

Insider Trading – there is legal insider trading, and illegal insider trading. Both can be profitable, but the illegal version comes with significant penalties.

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.”

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.”

Personal Finance News Stories

FINRA Close to Filing Fraud Rule for ‘Vulnerable’ Investors - FINRA plans to file its proposed Rule 4512 to help block elderly and "vulnerable" investors from financial exploitation, F...
Cetera Fined For Failing to Apply REIT Discounts - Cetera Investment Services was censured; fined $30,000; ordered to pay $17,883.66, plus interest, in restitution to custom...
Puerto Rico Bond Saga Continues - FINRA Sanctions Santander Securities LLC - The inappropriate sales and marketing of Puerto Rico bonds is not limited to UBS. Recently FINRA ordered Santander Securit...
How to Manage Increasingly Higher Medical Deductibles - Despite gains in the number of Americans with health insurance, employers are continuing to shift costs to workers in the ...
Simpler, Less Expensive 401(k) Options Emerge for Small Businesses - Most employers with fewer than 100 workers don’t offer 401(k) plans, and when they do, they’re expensive. But the landscap...

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.

  • What is Securities Arbitration? Arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers to arbitrate their disputes with each other, and with their customers. That requirement led to brokerage firms requiring, through their customer agreements, their customers to ...

Personal Investing News & Commentary

Best Banks with the Highest Interest Rate for Savings Account -

Are you earning the most from your savings and money market deposit accounts? Deposit accounts are the pillars of a strong financial foundation, providing you with financial stability as you work t...

5 Preparation Tips to Buy and Sell a Home Simultaneously -

Homeowners preparing to sell their properties and immediately buy new homes must carefully organize their plans to execute smooth transitions from owner, to seller, to purchaser. Prior to making of...

5% Cash Back Credit Cards, August 2014 Promotion Calendar -

The following is the 2014 calendar of 5% cashback bonus promotions for some of the credit cards and debit cards that are currently offering a 5% promotion. These cards include Citi Dividend, Discov...

Top 10 Tax Deductions for Rental Property Owners -

When you own rental property you are essentially running a small business. Here are 10 primary tax deductions for rental property owners that you can use to reduce your rental income for income tax...

Quarterly Estimated Tax Payments Due Dates for 2013-2014 -

For all the freelancers, small business owners and self-employed individuals out there, staying on top of when the estimated tax payments are due is important to help you stay within the IRS tax pa...

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.