Securities Law Home Page The Law of the Financial Markets from Top Securities Lawyers Wednesday, September 11, 2024
New York Securities Lawyer
Menu
  • Arbitration
    • What is Securities Arbitration?
      • Securities Arbitration Overview-2023 Update
  • Enforcement
  • Brokers
    • Information Center
    • FINRA Rule 8210 – Avoiding Enforcement Proceedings
    • CRD Expungement
    • Broker Center Archives
  • Investors
    • Recover Losses
    • Introduction to Private Placements – A Securities Lawyer Guide
    • Glossary
    • SEC Investor Publications
  • Corp Finance
    • Private Placements
    • Public Offerings
    • Hedge Funds
    • Mutual Funds – ETFs
  • Law/Compliance
    • Information Center
    • Securities Laws, Rules and Regulations
    • Recent FINRA Rule Filings
  • About Us
  • Arbitration
    • What is Securities Arbitration?
      • Securities Arbitration Overview-2023 Update
  • Enforcement
  • Brokers
    • Information Center
    • FINRA Rule 8210 – Avoiding Enforcement Proceedings
    • CRD Expungement
    • Broker Center Archives
  • Investors
    • Recover Losses
    • Introduction to Private Placements – A Securities Lawyer Guide
    • Glossary
    • SEC Investor Publications
  • Corp Finance
    • Private Placements
    • Public Offerings
    • Hedge Funds
    • Mutual Funds – ETFs
  • Law/Compliance
    • Information Center
    • Securities Laws, Rules and Regulations
    • Recent FINRA Rule Filings
  • About Us

Assets Under Management (AUM)

« Back to Glossary Index

AUM is the total value of assets for which an investment adviser provides certain kinds of investment advice.

« Back to Glossary Index
The Securities Lawyer

Search SECLaw.com

Primers

Expungement of Customer Complaints

Introduction to Blue Sky Laws

Finders Explained – Be Careful

The Firm’s Lawyer or Your Own Lawyer?

Hearing Hearing 

What is Securities Law?

Securities Attorney

Responding to a Wells Notice

Can I Take My Client Information When I Leave My Firm?

Can a Non-Citizen Be An Accredited Investor?

Sign Up For Our Newsletter

Featured Articles

Customer Claims in Arbitration

Expungement of Customer Complaints

Insider Trading – The Legal and Illegal

Introduction to Blue Sky Laws

Finders Explained – Be Careful

Cold Calling Rules

Churned or Traded?

Responding to a Wells Notice

How Long Does an SEC Investigation Take?

Securities Lawyer Mark J. Astarita’s Significant Matters

Disclaimer

The information on this website is for general information purposes only and may be considered attorney advertising. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.

Sallah Astarita & Cox – National Securities Arbitration and Litigation Attorneys

Visit The Securities Lawyer

More Blog Posts at The Securities Law Blog

Follow us on Twitter

Follow us on Facebook

For more news and information, visit our companion site The Securities Law Blog

SECLaw

  • Arbitration
  • Enforcement
  • Brokers
  • Investors
  • Corp Finance
  • Law/Compliance
  • About Us
Copyright © 2024 SECLaw Designed by WPZOOM