The Law of the Financial Markets
Wednesday, March 3, 2021
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 […]
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, […]
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 […]
Featured Articles Introduction to Securities Arbitration – The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process. Featured Books Securities Regulation in a Nutshell – This […]
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 […]
Sponsored by Mark J. Astarita, Esq. – representing brokers and investors in securities and employment disputes for over 30 years. Have a securities law question? Call his office today – 212-509-6544 or email him Introductory Materials Federal Securities Laws -introduction and overview of the cases and statutes that comprise the United […]
Sponsored By Mark J. Astarita, Esq. Featured Securities Law Books: NEW: Loss on Securities Regulation, 6th Edition – Updated in 2011, this is the gold standard for securities law practitioners. This updated edition gives you quick access to the law of securities regulation as found in Loss, Seligman, and Paredes’ […]
