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SEC Investigation
Brokers Compliance Featured Articles

How Long Does an SEC Investigation Take?

Mark J. Astarita, Esq. is a national securities attorney with over 30 years of experience representing investors, traders, and financial professionals in seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

SEC
The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)

” >SEC investigations, administrative proceedings, and court injunctive actions. For a free consultation regarding a securities law issue, email him at mja@sallahlaw.com SEC investigations can be a harrowing experience for […]

Wells Notice, SEC, FINRA Investigation
Brokers Commentary Compliance Featured Articles Primer

The Wells Notice SEC/FINRA Investigations

By Mark Astarita Being the subject, target, or even a witness in an SEC or a seclaw.com/glossary/finra/” class=”glossaryLink” data-cmtooltip=”

FINRA
The Financial Industry Regulatory Authority, the primary regulator for United States stock brokers and brokerage firms. For more information see our article, FINRA – The Financial Industry(…)

” >FINRA investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial professional’s involvement in a regulatory investigation or proceeding is extremely serious, and can be […]

Brokers Compliance Featured Articles

Responding to an 8210 Request

By Mark J. Astarita, Esq. seclaw.com/glossary/finra-rule-8210/” class=”glossaryLink” data-cmtooltip=”

FINRA Rule 8210
FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the right to inspect and copy the books, records and accounts of member firms, associated(…)

” >FINRA Rule 8210 FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the starting point of virtually every FINRA

Churning
Arbitration Featured Articles

Churned or Traded?

Mark J. Astarita is a nationally known securities attorney who represents investors and financial professionals in arbitration, compliance and regulatory matters. If you have a question, email him at mja@sallahlaw.com. seclaw.com/glossary/churning/” class=”glossaryLink” data-cmtooltip=”

Churning
Churning is trading in a customer's account that is excessive in light of his investment objectives, for purposes of generating commissions, without regard to the interests of the customer. In a(…)

” >Churning claims dominated the securities arbitration landscape in the early part of this decade, but have declined over the years, […]

FAQ Featured Articles Investors Primer Securities Law Dictionary

What is a Security?

A security is a form of ownership in an entity. While some believe that in order to be a security the instrument must be traded on a market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities