The Law of the Financial Markets from Top Securities Lawyers
Monday, April 28, 2025
The New Civil Liberties Alliance (NCLA) thinks so. It filed suit on uesday against the SEC claiming that the agency, through its “Consolidated Audit Trail,” or “CAT,” program, is collecting mass amounts of personally identifiable data by forcing brokers, exchanges, clearing agencies and alternative trading systems to capture and send […]
For investors aiming to understand or invest in U.S. public companies, the annual reports on Form 10-K and the quarterly reports on Form 10-Q are invaluable resources. These documents offer an in-depth view of a company’s operations, the challenges it faces, and its financial performance over the year or quarter. […]
Lawyer Form 8-K: A Comprehensive Guide for Investors In the realm of finance, staying abreast of the latest corporate developments is crucial for investors aiming to make well-informed decisions. Whether it’s a company unveiling its quarterly earnings, another grappling with auditor concerns that might signal trouble, or a third navigating […]
The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]
The U.S. Securities and Exchange Commission (SEC) is gearing up for an impactful event that promises to highlight the critical need for investor access to legal counsel. The 2024 Investor Advocacy Clinic Summit is set to bring together law students, their professors, SEC staff, and other distinguished guests to delve […]
A security is a form of ownership in an entity. While some believe that in order to be a security the instrument must be traded on a market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities
By: Mark J. Astarita, Esq. In the article linked below, the authors believe that the landscape of SEC enforcement is changing. According to this article, entities and individuals facing SEC actions are winning, or not losing as much. Of course, the examples in the article are purely anecdotal, and there […]
The SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you get a letter, phone call, or subpoena from the SEC (Securities and Exchange Commission) or FINRA (Financial Industry Regulatory Authority), take it seriously. Even if the person […]
Introduction The Securities and Exchange Commission (SEC) has announced its commitment to emphasizing the significance of investor education and protection during the World Investor Week (WIW) 2023, which is scheduled from October 2nd to October 8th. The ever-evolving landscape of technologies and digital tools has revolutionized the investment landscape, making […]
By Mark J. Astarita, Esq. For individuals and businesses involved in securities-related matters, facing a subpoena can be daunting. These investigations can be lengthy, detailed, and quite intense. The SEC wields substantial authority to investigate potential violations of securities laws, and responding to a subpoena demands a keen understanding of […]
