Tag: Form U-4

Brokers Investors

For The Record

Note: Mark Astarita was the legal columnist for Research Magazine from 1995 to 2000. This column was the first in  of 5 years of monthly articles. BY MARK J. ASTARITA, ESQ. By now, you’re probably aware of Spring Street Brewing’s successful initial public offering completed last year. The company conducted […]

Analysis Brokers News

LAW REVIEW: Liar, Liar?

Form u-4 and form u-5 are two of the most oppressive and abused securities  industry documents. recent changes were approved without a single comment from the industry. 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=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC‘s Bad Form By Mark J. Astarita, Esq. On July 5, 1996, the Securities and Exchange Commission (SEC) announced it had approved […]

Analysis News

Hire Standards

Regulators Call For Increased Scrutiny of Brokers with Disclosures By Mark J. Astarita, Esq.   WHETHER JUSTIFIED OR NOT, the hiring and continued employment of brokers with disclosable events on their Central Registration Depository (CRD) reports is an increasing concern. Just last year, a report issued by regulators recommended stringent […]

Analysis Brokers

Too Much Information

 The NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, 1996, the association proposed to make full disclosure of the entire contents of the disciplinary and litigation section of a […]