The Law of the Financial Markets
Sunday, March 7, 2021
From the SEC’s “Fast Answers” Page: Rule 506 of Regulation D Rule 506 of Regulation D is considered a “safe harbor” for the private offering exemption ofSection 4(a)(2) of the Securities Act. Companies relying on the Rule 506 exemption can raise an unlimited amount of money. There are actually two […]
Corporate Finance, the raising of capital, is a significant part of the United States Securities Laws. SEC Law.com IPO Information Center Introductory Materials: Introduction to Federal Securities Laws Introduction to Blue Sky Laws (State Securities Laws) Introduction to Securities Arbitration Initial Public Offering Process Introduction to Private Placements Introduction to […]
Internet Promoters Enjoined by SEC The SEC announced on August 25, 2000, another case involving the online touting of securities, and the entry of a permanent injunction against a promoter who failed to follow the anti-touting rules under the Securities Act of 1933. According to the SEC Release, the defendants, […]
When the Securities and Exchange Commission enacted a new procedure for financing by small corporations, known as the Small Corporate Offering Registration (SCOR), it was designed to help small corporations raise capital. In essence, it is a procedure designed by the SEC to enable smaller companies to raise capital, by […]
A question I am often asked is what is the definition of a finder, or questions that lead to that question. The issue arises when an unregistered person or entity introduces investors to an issuer, and seeks to obtain payment based on the investment made by the investor. The […]
Maintained by Mark J. Astarita, Esq. Last Updated September 16, 2014 BLUE SKY ATTORNEYS – The state securities laws are a tangle of rules and regulations that differ from state to state, and impact public offerings of securities, private placements, investment advisor registrations and broker-dealer regulations. Experienced securities blue sky […]
Introduction By Mark Astarita, a New York Securities Lawyer This overview of the private placement process is not legal advice, and is intended solely for information and educational purposes. If you are contemplating a private placement, or any legal transaction, you should consult an attorney who can provide you with […]
Hedging Your Bets Is a Hedge Fund the Way Out of the Regulatory Nightmare? By Mark J. Astarita, Esq. One of my personal market indicators is what I call the “Hedge Fund Indicator”, and is based on the number of inquiries I receive from non-financial professionals who want to start […]
Blog Roundup: The latest posts from securities law related blogs: SECLaw.com: Business Law Professor: Related Sites The Securities Law Blog Securities Lawyer
Mark Astarita, Esq. is a nationally recognized securities attorney who represents investors, financial professionals, issuers and financial firms in a wide variety of matters involving federal and state securities laws. He can be reached at mja@sallahlaw.com. The state securities laws and the regulatory scheme has not changed much since 2001 […]
