Introduction to the Securities Laws

Overview of the Federal and State Regulatory enviorment of the most heavly regulated industry in the United States.

Introduction to the Blue Sky Laws

Introduction to the state securities laws and regulations.

Important Securities Law Court Decisions

Links to the more significant court decisions which have created the federal securities laws and interpreted significant rules and statutes.

Securities Broker Information Center

Articles and Links of Interest to Securities Professionals.

For The Record

Mark Astarita's Monthly Column on Brokers and The Law. This month's article examines ways for brokers to protect themselves against frivolous claims. Also published in Research:Magazine.

URL-Y Warnings

From Research:Magazine, an article by Mark Astarita relating to the use of the Internet by brokers and brokerage firms.

Brokers Online?

State regulators are reportedly considering making portions of Form U-4 Available Online.

The Joint Regulatory Sales Practice Sweep Report

The regulators are recommending broad changes to the way firms do business. The Securites Law Home Page commentary on the report is also available.

Report of the SEC Task Force on Disclosure Simplification

With the elimination of 81 Rules and 22 Forms, modification of many other rules and regulations, and an effort to make it easier for smaller, less-seasoned companies to move quickly in accessing the public markets. The full text of the report is at the Commissions web site, the SHLP commentary is also available.

Typical Brokerage Firm Compliance Issues

Overview of some of the main compliance and regulatory issues facing brokers and their firms, with supervisory suggestions.

The NASD Mark-Up Rule

Currently a hot issue for regulators, this article provides an overview of the rule.

New Securities Regulation Proposals in Congress

Discussion of what Congress has in store for investors and market professionals. Last updated 9/29/95.

New NASD Rule Regarding Reporting of Customer Complaints

The NASD has added extraordinary reporting requirements on Broker-Dealers for customer complaints and other regulatory problems.

Honoring and Enforcement of Arbitration Awards

Article on the special treatment of securities arbitration awards. SRO rules override State law on payment of awards - ignore them, or wait too long, and you could lose your license!

Securities Laws, Rules and Regulations

A guide to on-line sources of securities laws and regulations, including the full text of the '33 and '34 Act.

Publications by the Securities and Exchange Commission

The Commission has posted a ton of publications on the Internet, we have selected the most useful ones.

SEC Releases on Electronic Prospectus Delivery

The Securities and Exchange Commission is proposing a host of rule changes to explicitly permit the electronic delivery of various investor communications. Here is the text of their release.

This page is part of The Securities Law Home Page, which is supported by Mark J. Astarita, Esq., a securities attorney, who handles securities, commodities and computer related issues from his office in New York City. Please forward all comments and suggestions to astarita@seclaw.com.This page is Copyright 1995, 1996 by Mark J. Astarita, but feel free to link to it, or its underlying documents.