Analysis News


URL-Y WARNINGS BY MARK J. ASTARITA, ESQ. Early last year, a broker at a major wirehouse posted a Web site providing general market information. The broker’s site was being visited by 1,000 potential customers a day. His firm’s reaction? They shut him down out of fear of the new technology […]


IARD For Investment Advisors Effective 1/1/01

Internet Based Filings, Disclosure, and Public Database Search Effective January 2001 By Mark J. Astarita, Esq. On September 12, 2000 the SEC</div><div class=glossaryItemBody>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.(…)</div>” href=”” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC adopted new rules that creat electronic filing requirements for investment advisors. Beginning in January 2001, advisers registered with the Commission will submit their registration forms (and other filings) […]

Analysis Brokers Hedge Funds Investors

Hedge Fund Creation, Regulation and Compliance

By Mark J. Astarita, Esq. In its most expansive definition, a” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>hedge fund is a private investment fund, usually structured as limited partnership, managed by the general partner who makes the investment decisions and collects a management and incentive fee. The investors in the fund are the limited partners, who […]

Analysis Law

Investment Advisers Act of 1940

The Investment Adviser Act of 1940 is the statute that provides the regulations for the registration and oversight of individuals and corporations who are not brokers or dealers, but who provide investment advice to the public. Need more information? The Investment Advisers Act of 1940 Rules and Regulations under the […]


The Securities Law Letter

The Securities Law Letter is a monthly email newsletter, containing the latest news, commentary, rule proposals and amendments, as well as press releases and other web based information of interest to those who are interested in the United States Securities Laws. The Securities Law Letter is free, but we need […]

Arbitration News

SEC Approves Injunctive Relief Rule

New Mechanism for Resolution of Raiding Disputes Approved Rule 10335 makes permanent, with some significant modifications, a formal mechanism for the resolution of raiding disputes, under a NASD Rule approved by the Securities and Exchange Commission. Former Rule 10335, designed as a one-year pilot in 1996 and taken out of […]