The Law of the Financial Markets from Top Securities Lawyers
Tuesday, September 26, 2023
Federal Law | Commentary | State Law | Securities Regulations The securities laws in the United States are a complex web of multiple and overlapping statutes and rules from over 52 different regulatory agencies. Mark Astarita‘s overview, Federal Securities Laws, a Securities Lawyer Guide, provides introductory information regarding federal securities laws. Here we have […]
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for failing to implement a supervisory system reasonably designed to detect and […]
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 […]
