The SECLAW Guide to SEC Publications
The Securities and Exchange Commission has placed dozens of articles about
themselves and the securities laws on line. While some of the articles
are simplistic, and others are focused on the regulator's point of view,
and biased against the financial industry, others are extremely informative,
particularily to the new investor. We have collected what we believe are
the most useful of those publications, and provided links to them below.
There is a full index
of all of the publications at the site.
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Capital Formation
Information
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Information provided by the SEC regarding raising capital pursuant to the
'33 Act.
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Ask
Questions
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Questions you should ask about your investments and the people who sell
them to you ... and what to do if you run into problems.
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Picking
a Broker
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How to choose a broker, pick an investment and look out for trouble.
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Introduction
to Mutual Funds
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How mutual funds work, factors to consider before investing and how to
avoid common pitfalls.
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"Investor
Protection: Tips From An SEC Insider"
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Remarks by Chairman Arthur Levitt at the Investors' Town Meeting,Washington,
D.C., November 15, 1995.
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What
Every Investor Should Know
-
The essentials of investing.
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About
Settling Trades in Three Days:Introducing T+3
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Answers frequently asked questions about the new, shorter settlement cycle
of 3 days.
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Arbitration
Procedures
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Important information on resolving disputes against stockbrokers.
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The
Work Of The SEC
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Describes the SEC's mission, the laws it enforces and how it works.
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Q&A:
Small Business and theSEC
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How to take your small business public.
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Investment
Fraud and Abuse Travel to Cyberspace
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Fraud is on-line and waiting for you ...
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SEC Investor Alert
- AT&T
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SEC Investor Alert regarding the appearance of stock certificates of AT&T,
which were cancelled 25 years ago.
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Invest Wisely
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Investment advice from the Securities and Exchange Commission.
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Ponzi Schemes
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Information about Ponzi Schemes; how to identify one, and how to avoid
becoming a victim of one.
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SEC Investigations
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An overview of the investigative process.
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Old Stock Certificates
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How to get information on old stock certificates.
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Broker Communications
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Guidelines for communicating with your broker.
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Shareholder's Rights
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An introduction to the rights of shareholders.
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New Issues
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Discussion of rules and regulations relating to the new issue market.
Copyright 1995-1997 by Mark J. Astarita, Esq. All rights reserved.
Reproduction is permitted so long as no charge is made for copies, no copies
are placed on any electronic online service or database for which there
is a fee other than a flat access charge, there is no alteration and this
copyright notice is included. This Web Site is a result of the efforts
of Mr. Astarita, and is his responsibility. Beam & Astarita, LLC
does not have any input into the content of this site, nor any responsibility
for the information contained herein. The information contained in this
document is not intended as legal or financial advice. Legal counsel should
be consulted prior to reliance upon the legal information contained herein.
Consult your financial advisor before acting on any information found here,
or anywhere else on the Web. We may have an interest in some of the companies
mentioned in the links, though we probably don't. Lastly, we are not affiliated
with any of the organizations or people who have links here, and are not
recommending that you use, don't use, their services. We are providing
links to other pages solely because we believe those sites are of interest
to those who visit here.
For further information contact usby email.