Corporate Finance, the raising of capital, is a significant part of the United States Securities Laws.
Introductory Materials
Federal Securities Laws -introduction and overview of the cases and statutes that comprise the United States securities laws. Insider trading, stock manipulation, and more.
Blue Sky Laws (State Securities Laws) – introduction and overview of the securities laws of the various states, how they interact with the federal laws, plus links to all of the state securities administrators, statutes and regulations.
Initial Public Offering Process – going public is only one method of raising capital.
Private Placements – raising capital privately is often the preferred method for many companies, but the process must be carefully managed. With less registration requirements comes more regulation in order to maintain the registration exemption.
Featured Books:
Hedge Fund Disclosure Documents Line by Line: A User’s Guide to Private Placement Memoranda for Funds Formed as Limited Liability Companies – a walkthrough of a private placement memorandum for a hedge fund, but the concepts are applicable to any private placement memorandum.
Regulation of Securities: Sec Compliance and Practice – Securities compliance handbook for public companies, and those responsible for their compliance issues. This is not an academic treatise, it provides straightforward answers to real-world questions.
Recent Blog Posts
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
Washington D.C., Feb. 13, 2026 — The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and an agenda are available on ...
Securities Enforcement Roundup – January 2026
From Morgan Lewis, a monthly summary of securities enforcement developments from January 2026. Here is a concise, integrated summary of the points you provided: During this period, the SEC continued its enforcement activity with public company accounting and disclosure issues. It maintained a focus on the life sciences sector. Additionally, it brought several insider trading cases. ...
SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
IPO Mandatory Arbitration Back in the News
One of the most consequential developments in securities litigation has been the SEC’s shift toward permitting companies to issue stock conditioned on mandatory arbitration of investor disputes. If broadly adopted, this approach could fundamentally reshape the enforcement landscape. It provides issuers with a powerful mechanism to sidestep class actions. At the same time, it invites ...
The SEC recently issued a concept release inviting public input aimed at refining the regulatory framework for residential mortgage-backed securities (RMBS) and other asset-backed securities (ABS). The move comes amid a prolonged absence of public RMBS offerings and signals the Commission’s interest in reenergizing this market segment. (SEC) Why the Public RMBS Market Matters Public offerings of ...
SEC Advisory Committee to Examine Regulation A and “Finders” in July 2025 Meeting
SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The event will take place at the ...
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panels: Engaging with Beneficial Owners: Exploring Pass-Through Voting and Other Means of Reaching the ...
Understanding Capital Formation in Emerging Markets The U.S. Securities and Exchange Commission (SEC) has released three in-depth research reports through its Division of Economic and Risk Analysis (DERA) that shed light on how capital is raised in the United States, particularly among smaller issuers and private funds. These reports analyze trends in Regulation A offerings, crowdfunding ...
SEC Enhances EDGAR System Security with New Filer Management Dashboard
SEC Introduces EDGAR Next to Streamline Access and Security Washington, D.C., March 6, 2025 – The Securities and Exchange Commission (SEC) has launched comprehensive guidance and resources to assist filers in navigating upcoming access and account management enhancements to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Starting March 24, 2025, filers can access the new ...
SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy
Washington, D.C., Feb. 14, 2025 — The Securities and Exchange Commission (SEC) is set to host the 44th Annual Government-Business Forum on Small Business Capital Formation at its headquarters in Washington, D.C. This pivotal event will take place on April 10 from 1:00 to 4:30 p.m. ET, bringing together stakeholders from both public and private ...
Featured Commentary
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From the SEC:
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Mark J. Astarita, Esq. is a securities lawyer who represents investors, financial professionals and firms in litigation, arbitration and regulatory matters across the country. He is a partner in the national securities law firm of Sallah Astarita & Cox, LLC and can be reached by email at mja@sallahlaw.com or by phone at 212-509-6544.
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Last updated on September 2nd, 2022
Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
