Corporate Finance, the raising of capital, is a significant part of the United States Securities Laws.
Introductory Materials
Federal Securities Laws -introduction and overview of the cases and statutes that comprise the United States securities laws. Insider trading, stock manipulation, and more.
Blue Sky Laws (State Securities Laws) – introduction and overview of the securities laws of the various states, how they interact with the federal laws, plus links to all of the state securities administrators, statutes and regulations.
Initial Public Offering Process – going public is only one method of raising capital.
Private Placements – raising capital privately is often the preferred method for many companies, but the process must be carefully managed. With less registration requirements comes more regulation in order to maintain the registration exemption.
Featured Books:
Hedge Fund Disclosure Documents Line by Line: A User’s Guide to Private Placement Memoranda for Funds Formed as Limited Liability Companies – a walkthrough of a private placement memorandum for a hedge fund, but the concepts are applicable to any private placement memorandum.
Regulation of Securities: Sec Compliance and Practice – Securities compliance handbook for public companies, and those responsible for their compliance issues. This is not an academic treatise, it provides straightforward answers to real-world questions.
Recent Blog Posts
SEC Advisory Committee to Examine Regulation A and “Finders” in July 2025 Meeting
SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The event will take place at the ...
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panels: Engaging with Beneficial Owners: Exploring Pass-Through Voting and Other Means of Reaching the ...
Understanding Capital Formation in Emerging Markets The U.S. Securities and Exchange Commission (SEC) has released three in-depth research reports through its Division of Economic and Risk Analysis (DERA) that shed light on how capital is raised in the United States, particularly among smaller issuers and private funds. These reports analyze trends in Regulation A offerings, crowdfunding ...
SEC Enhances EDGAR System Security with New Filer Management Dashboard
SEC Introduces EDGAR Next to Streamline Access and Security Washington, D.C., March 6, 2025 – The Securities and Exchange Commission (SEC) has launched comprehensive guidance and resources to assist filers in navigating upcoming access and account management enhancements to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Starting March 24, 2025, filers can access the new ...
SEC Announces 44th Annual Small Business Forum to Impact Capital-Raising Policy
Washington, D.C., Feb. 14, 2025 — The Securities and Exchange Commission (SEC) is set to host the 44th Annual Government-Business Forum on Small Business Capital Formation at its headquarters in Washington, D.C. This pivotal event will take place on April 10 from 1:00 to 4:30 p.m. ET, bringing together stakeholders from both public and private ...
Here’s your SEO-optimized, rewritten article: SEC Small Business Capital Formation Advisory Committee Announces February 2025 Meeting Washington, D.C., January 30, 2025 — The Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee has unveiled the agenda for its upcoming meeting on February 25, 2025. This session will focus on the capital-raising hurdles faced by emerging ...
What Happens If I Ignore an SEC Subpoena?
Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. They are also getting tougher on investors and issuers. When you are served with an SEC subpoena, you know that they are not fun to deal with. But you must deal with it. Even if you ...
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, July 30, 2024, which will include an exploration of recent changes to the U.S. Small Business… SEC Press Release
What Does a Securities Lawyer Do?
Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers assist companies with capital raising, stock ...
As part of its continuing efforts to promote diversity, equity, and inclusion with regulated entities, the Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) published two reports: the 2022 Diversity Assessment Report for… SEC Press Release
Featured Commentary
The penny stock market has the potential for significant profits, and of course, significant losses. Investing in start-ups and small companies is speculative, and high risk, but has an allure for ...
The Delaward Corporate and Commercial LItigation Blog has an interesting post regarding this decision, with a link to the 110-page decision which awarded damages over breach of fiduciary duty relat...
Interesting analysis of how serving shareholders intead of your business model can ruin your company - How the IPO Ruined Google
From the SEC:
Mark J. Astarita, Esq. is a securities lawyer who represents investors, financial professionals and firms in litigation, arbitration and regulatory matters across the country. He is a partner in the national securities law firm of Sallah Astarita & Cox, LLC and can be reached by email at mja@sallahlaw.com or by phone at 212-509-6544.
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Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
