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Regulation BI
Brokers Information Center

Introduction to Regulation Best Interest

SEC Regulation Best Interest In June of 2019 the SEC approved Regulation Best Interest, which requires broker-dealers to act in the best interest of their retail customers when making recommendations as to securities or investment strategies. In adopting the regulation, the SEC stated that the regulation “enhances the broker-dealer standard […]

Information Center

Hedge Fund Information Center

Sponsor: Sallah Astarita & Cox, LLC – Nationwide representation of hedge funds, hedge fund managers and investors. Featured Articles: Registration and Regulation of Investment Advisers – an overview of the requirements and procedures for registration of investment advisers and hedge fund managers. Featured Books: Fund Formation Strategies: Leading Lawyers on Analyzing Fund Structures, […]

Corp Finance Information Center

Corporate Finance Center

Corporate Finance, the raising of capital, is a significant part of the United States Securities Laws. SEC 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 […]

Brokers Information Center

Financial Adviser Legal Information Center

Featured Books Securities Law in a Nutshell is an excellent introduction to the United States securities law. Broker-Dealer Regulation in a Nutshell  is a similar introduction, and while the laws regulating broker-dealers are complex, this book provides an overview of the concepts and regulations. Investment Adviser Regulation: A Step-by-Step Guide to Compliance […]