Tag: U.S. Securities and Exchange Commission

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

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 […]

Analysis Corp Finance

SEC Approves All-Electronic Offering

  Web based offering approved by Commission for First Time By John M. Baker, Esq. The Securities and Exchange Commission has for the first time approved an offering that is to be made only by means of the World Wide Web. In a rare action, the seclaw.com/glossary/registration-statement/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>registration statement for The […]