The Law of the Financial Markets from Top Securities Lawyers
Sunday, November 28, 2021
Types of Securities Lawyers While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are transactional securities lawyers, who help companies raise capital, obtain and maintain listings on a stock exchanges, assist in mergers and acquisitions and perform the […]
By Mark J. Astarita, Esq. seclaw.com/glossary/finra-rule-8210/” class=”glossaryLink” data-cmtooltip=”
” >FINRA Rule 8210 FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the starting point of virtually every
In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying firm records, by waiving his commissions on mutual fund transactions. The hearing panel found that FINRA failed to meet its burden of proof, and after a hearing, dismissed the charges. […]
Approves Removal of Prior Restrictions – Notice to Members 00-36 By Mark J. Astarita, Esq. NASD Notice to Members 00-36 seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”
” >SEC Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board Effective Date: […]
NASD Adjudicatory Council Strikes Case Because of Delays Follows SEC Lead in Upholding Rights to Due Process and Fundamental Fairness after 7-year delay in commencing proceedings. By Mark J. Astarita, Esq. Delays by regulators in bringing enforcement actions is a recurring problem for brokers and firms, as well as their […]
According to FINRA’s public statements, one of its top priorities is enforcement of its rules, as well as the federal securities laws. FINRA investigates activity which is believes may indicate a securities law violation, and files disciplinary proceedings against firms and their associated persons to address such violations. A FINRA […]
By Mark J. Astarita, Esq. On August 1, 2000, the SEC approved rule changes proposed by the NASD that amend the NASD Code of Procedure (the Code) and other provisions. The changes include provisions to: set forth more clearly the Department of Market Regulation’s role in disciplinary proceedings; clarify the […]
