Investor Legal Information Center

Sponsored by Mark J. Astarita, Esq. – representing brokers and investors in securities and employment disputes for 25 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 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.

Securities Arbitration Overview – 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.

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.

Insider Trading – there is legal insider trading, and illegal insider trading. Both can be profitable, but the illegal version comes with significant penalties.

Recommended Books

Personal Finance For Dummies – From Amazon – “Personal Finance for Dummies offers sound and practical advice for those who want to get control over their personal financial lives. Author Eric Tyson points out the most common mistakes that we all make in our approach to money and prescribes ways to save and invest for a secure future. Using worksheets, the book helps you to measure your own financial health by looking at factors such as how much debt you carry, your savings rate, as well as investment and insurance checkups. The book looks at how you should invest your retirement account, approach taxes, and provides a good overview on how to buy real estate.”

Mutual Funds For Dummies, 6th edition – “With straightforward advice and a plethora of specific up-to-date fund recommendations, personal finance expert Eric Tyson helps you avoid fund-investing pitfalls and maximize your chances of success. This revised edition features expanded coverage of ETFs, fund alternatives, and research methods Tyson provides his time-tested investing advice, as well as updates to his fund recommendations and coverage of tax law changes Sample fund portfolios and updated forms show you exactly how to accomplish your financial goals.”

Featured Articles

Introduction to the Federal Securities Laws -an introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934

Introduction to the Blue Sky Laws (State Securities Laws) – each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as “blue sky laws.”

Introduction to Private Placements – hedge funds, and private equity funds, take in investors’ money by way of a private placement. Such offerings are exempt from the registration process for offering securities for sale; provided the rules are followed. A description of the exemption, and the private placement process.

  • What is Securities Arbitration? Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970’s,  FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms requiring, through their customer ...

Personal Investing News & Commentary

Best High Interest Savings Accounts for September 2019 - Are you earning the most from your savings and money market deposit accounts? Savings and MM accounts are the foundation of a strong financial plan, providing you with financial stability as you wo...
Is 15-Year Mortgage Better Than a 30-Year Mortgage? - A 30-year fixed-rate mortgage is the defacto standard for home purchases. However, you probably have seen some advertisements that encourage you to refinance your 30-year mortgage into a 15-year lo...
How to Write a Check and Balance Your Checkbook - Although online payment is prevalent nowadays, you may still find yourself in a situation where you need to write a check. For example, when you pay a contractor that doesn’t take a credit card pay...
S&P 500 Equal Weight Index vs Capitalization Weight (RSP vs SPY) - The S&P 500 is a market capitalization weight index. This means that larger companies make up larger percentages of the index than smaller companies. The percentage is calculated by taking the mark...
Should You Pay Off Debt or Invest? - Should you pay off debt or invest? The answer really depends on your specific situation, but it is a question worth exploring in detail since so many people go through this decision-making process ...

Personal Finance News Stories


Amazon.com makes it easy to order books online, and we have compiled what we believe to be the most useful books for the brokerage legal and compliance officer in the Compliance and Law Department at the SECLaw.com Bookstore.

Past Articles and Commentary
Every month The Securities Law Home Page brings together commentary and updates from securities law practitioners and regulators. Past articles are collected here in chronological order, or simply search for the topic you are interested in.

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