The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 4, 2023
The SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]
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 […]
Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the accounting and corporate governance scandals at Enron, WorldCom, and other large publicly traded companies. It is […]
Welcome to the Securities Law Information Center, where we bring together our articles and commentary with relevant links to the rules, regulations, and statutes that comprise the United States Securities laws. Curated by Mark J. Astarita, Esq. Featured Securities Law Books: The Securities Enforcement Manual, Second Edition: Tactics and Strategies […]
