Violations of 17(b) Alleged for Failing to Disclose Compensation By Mark J. Astarita, Esq. September 24, 1998 – the SEC announced the filing of a civil action involving a fraudulent touting scheme engaged in by individuals and the corporate publisher of a Newsletter. The Complaint alleges that the individuals […]
Tag: Investment Adviser
Hedging Your Bets – Create a Hedge Fund
Is a Hedge Fund the Way Out of the Regulatory Nightmare? By Mark J. Astarita, Esq. One of my personal market indicators is what I call the “Hedge Fund Indicator”, and is based on the number of inquiries I receive from non-financial professionals who want to start a hedge fund […]
Financial Advisor Legal Information Center
Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large publicly traded companies. It is […]
Congress Proposes Registration of Hedge Fund Advisers
New Plan to Register Investment Advisers. Legislation to Remove Some Federal Registration Exemptions and Increase Reporting By Mark J. Astarita, Esq. The Obama Administration is proposing legislation that will remove the exemptions from registration enjoyed by managers of private investment partnerships and hedge funds. The legislation will require the registration […]
