Tag: Securities Act of 1933

Securities, Lawyer, Attorney
Law Primer

What is Securities Law?

Securities law refers to the body of law that relates to the financial markets. That includes the oversight of seclaw.com/glossary/stock/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>stock brokers and investment advisers, the stock exchanges themselves, the brokerage firms, the sale of securities, mergers, acquisitions and much more. In short, if it in any way involves an investment […]

Securities law rules regulations

Securities Regulations, Statutes, Laws and Rules

Federal Law | Commentary | State Law | Securities Regulations The securities laws in the United States are a complex web of multiple and overlapping statutes and rules from over 52 different regulatory agencies. Mark Astarita‘s overview, Federal Securities Laws, a Securities Lawyer Guide, provides introductory information regarding federal securities laws. Here we have […]

Brokers Compliance Corp Finance

Touting Stocks is Illegal

Internet Promoters Enjoined by SEC The SEC has been pursuing those who illegally tout stocks on the Internet for over 20 years, but the conduct continues. The typical case ends in a series of fines, and the entry of a seclaw.com/glossary/permanent-injunction/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>permanent injunction against the promoter who failed to follow the […]

Federal Securities Laws
Featured Articles Law Primer

Federal Securities Law, a Securities Lawyer Guide

The SEC, seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA, the States, and much more Mark J. Astarita is a nationally known securities attorney with over 30 years of experience representing investors and financial professionals across the country in regulatory investigations, arbitration and litigation. If you have a securities law question, call 212-509-6544 Introduction The history of […]

Brokers Compliance Corp Finance

Hedging Your Bets – Creating a Hedge Fund?

Hedging Your Bets Is a seclaw.com/glossary/hedge-fund/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>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 […]