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Expungement of Customer Complaints

The problems associated with FINRA‘s CRD Disclosure System are well known to visitors to SECLaw.com, as we have written about the issue a number of times. The concept of disclosing every allegation,...

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Introduction to State Securities (Blue Sky) Laws

While the SEC directly, and through its oversight of the FINRA and the various Exchanges, is the main enforcer of the nation’s securities laws, each individual state has its own securities laws and...

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Federal Securities Law, a Securities Lawyer Guide

The SEC, FINRA, the States, and much more Introduction The history of the securities regulation and federal securities law are well beyond the scope of this work, and the reader is commended to any one...

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Overview of the Securities Arbitration Process

Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has represented broker-dealers, investment...

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Guide to Broker-Dealer Registration

By Mark J. Astarita, Esq. The following article has been adopted from an article distributed by the SEC’s Division of Market Regulation. The article was originally posted in December 2005. It’s last...

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Finders Explained – Be Careful

  A question I am often asked is what is the definition of a finder, or questions that lead to that question. The issue arises when an unregistered person or entity introduces investors to an issuer,...

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