The Law of the Financial Markets from Top Securities Lawyers
Friday, September 22, 2023
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 and seeks to obtain payment based on the investment made by the investor. The problem […]
Maintained by Mark J. Astarita, Esq. Last Updated March 2022 Introduction A complete listing of the contact information for the State Securities Commissions, who regulate securities transactions , in addition to the rules and regulations of the Securities and Exchange Commission . Here is a listing of the various state […]
Introduction By Mark Astarita, a New York Securities Lawyer This overview of the private placement process is not legal advice, and is intended solely for information and educational purposes. If you are contemplating a private placement, or any legal transaction, you should consult an attorney who can provide you with […]
Hedging Your Bets Is a Hedge Fund the Way Out of the Regulatory Nightmare? By Mark J. Astarita, Esq. Mark Astarita, Esq. is a nationally recognized securities attorney who represents investors, financial professionals, issuers and financial firms in a wide variety of matters involving federal and state securities laws. He […]
Mark Astarita, Esq. is a nationally recognized securities attorney who represents investors, financial professionals, issuers and financial firms in a wide variety of matters involving federal and state securities laws. He can be reached at mja@sallahlaw.com. The state securities laws and the regulatory scheme has not changed much since 2001 […]
Going Public Introduction While going public offers many benefits it also comes with risks and regulations with which can become complicated, and compliance can be expensive. Despite the risks and costs, the U.S. capital markets remain one of the most attractive sources of financing in the world. Going public is […]
Expectations have been raised by the media, claimants’ counsel and other pundits that a flood of arbitration filings will follow the conclusion of the $1.4 billion regulatory settlement regarding analyst conflicts. RESEARCH SETTLEMENT & ARBITRATION IMPACT: Expectations have been raised by media, Claimant’s counsel and other pundits that a flood […]
Section 14(e) applies, but not 14(d) for some, but yes for others. By John M. Baker, Esq. The SEC issued an interpretive release on “mini-tender offers” and limited partnership tender offers. Release Nos. 34-43069, IC-24564 (July 24, 2000). A mini-tender offer is a tender offer resulting in ownership of not […]
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 registration statement for The […]
New Definitions and Rules to Measure Independence, New Restrictions By John M. Baker, Esq. On June 30, 2000 the SEC posted proposed rules that would substantially revise the independence standards for auditors. Release Nos. 33-7870, 34- 42994, 35-27193, IC-24549 (June 30, 2000). The proposal would modernize the rules for auditor […]
