SECLaw.com has been online since 1995 and is the result of the work of noted securities attorney Mark Astarita. Mark has represented broker-dealers, investment advisers, hedge funds, investment partnerships, individual brokers and investors, across the country for over 25 years. Mark has represented parties in hundreds of FINRA and SEC examinations, enforcement proceedings and arbitrations. He has helped brokers, advisers and their firms through the regulatory and compliance maze, and he should be able to help you. To find out, email Mark .

Featured Articles

Tips for Responding to an SEC Subpoena. Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is true whether you are a market professional, the CEO of a regulated entity, or an investor. That investigation can have a serious effect on your business, or your career and has the risk of consuming a significant amount of time, and money, even if you have engaged in any wrongful conduct. How you respond to the initial inquiry, and how you manage the events as the investigation continues often determines the outcome of that investigation.

Parking Stock Is Illegal. It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the ordinary course of business is actually a securities law violation, with significant consequences.

Introduction to Securities Arbitration. Mark Astarita’s Securities Arbitration Overview. Downloaded tens of thousands of times, one of our most popular articles. Virtually all disputes between customers and firms, and between brokerage firms, are resolved in binding arbitration. Mark Astarita has represented parties in hundreds of these arbitrations. This walkthrough of the process takes the reader step by step, from start to finish.

Registration and Regulation of Investment Advisors. Less FINRA regulation, less wirehouse pressure. Starting an independent registered investment advisory firm is the solution for some. You will need an experienced securities attorney to assist, but the process is not that difficult.

News and Commentary

Featured Articles

An introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934

Each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as blue sky laws.

The term insider trading refers to two types of trading, one that is legal, and the other that is not. An overview of the illegal type of insider trading.

Securities offerings which are not made to the general public are called private placements, and are exempt from registration with the securities regulators. Private placements are used by private and public companies to raise capital, as well as by hedge funds and private equity funds to accept investor funds. A description of the exemption, and the private placement process.

An overview of the requirements and procedures for registration of investment advisers and hedge fund managers.

We updated and improved the SEC’s original guide. This article is a comprehensive guide to the registration process to create and manage a securities broker-dealer.

Sallah Astarita & Cox, LLC is a securities law firm which represents all participants in the financial markets in arbitration, litigation and regulatory matters, and continues to provide commentary and analysis for SECLaw.com. Visit their site. A list of articles and commentary from the firm is also available.

Introduction to Securities Arbitration — The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq. a New York securities lawyer who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process. More

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