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.
       
      Capital Formation Information
      Information provided by the SEC regarding raising capital pursuant to the '33 Act.

       
      Ask Questions
      Questions you should ask about your investments and the people who sell them to you ... and what to do if you run into problems.

       
      Picking a Broker
      How to choose a broker, pick an investment and look out for trouble.

       
      Introduction to Mutual Funds
      How mutual funds work, factors to consider before investing and how to avoid common pitfalls.

       
      "Investor Protection: Tips From An SEC Insider"
      Remarks by Chairman Arthur Levitt at the Investors' Town Meeting,Washington, D.C., November 15, 1995.

       
      What Every Investor Should Know
      The essentials of investing.

       
      About Settling Trades in Three Days:Introducing T+3
      Answers frequently asked questions about the new, shorter settlement cycle of 3 days.

       
      Arbitration Procedures
      Important information on resolving disputes against stockbrokers.

       
      The Work Of The SEC
      Describes the SEC's mission, the laws it enforces and how it works.

       
      Q&A: Small Business and theSEC
      How to take your small business public.

       
      Investment Fraud and Abuse Travel to Cyberspace
      Fraud is on-line and waiting for you ...
      SEC Investor Alert - AT&T
      SEC Investor Alert regarding the appearance of stock certificates of AT&T, which were cancelled 25 years ago.

       
      Invest Wisely
      Investment advice from the Securities and Exchange Commission.

       
      Ponzi Schemes
      Information about Ponzi Schemes; how to identify one, and how to avoid becoming a victim of one.

       
      SEC Investigations
      An overview of the investigative process.

       
      Old Stock Certificates
      How to get information on old stock certificates.

       
      Broker Communications
      Guidelines for communicating with your broker.

       
      Shareholder's Rights
      An introduction to the rights of shareholders.

       
      New Issues
      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.
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