Investment Advisers Act of 1940

The Investment Adviser Act of 1940 is the statute which 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 […]

Welcome, the online guide to the securities law, has been online since 1995 and is the result of the work of noted securities attorney Mark Astarita. Mark represents individual and institutional investors, as well as broker-dealers, investment advisers, financial professionals, across the country. Mark has represented parties in over 700 […]

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 […]

Stay of Non Arbitrable Claims is Discretionary

Stay of Non-Arbitrable Claims is Discretionary Where Arbitrable Claims Exist Baggesen vs. American Skandia Life Assurance Corp. Baggesen v. American Skandia Life Assurance Corp. & Securities America, Inc., 2002 U.S. Dist. LEXIS 23411 (D. Mass, 12/5/02). FAA (§ 3) * Agreement to Arbitrate * Stay of Litigation * Scope of […]