Publications by Beam & Astarita Attorneys

Overview of the Federal Securities Laws
An introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934
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Introduction to Securities Arbitration
An overview of the securities arbitration process written by Mark J. Astarita, Esq.
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Registration and Regulation of Investment Advisors
What you need to know in order to start an investment advisory firm.
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The Wells Notice in SEC and NASD Investigations
Could it possibly be a good thing?
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Guide to Broker-Dealer Registration - a complete guide to the rules and regulations for creating and maintaining a registered securities broker-dealer. Read Article

Introduction to the Federal Securities Laws - an introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934. Read Article.

Introduction to the Blue Sky Laws (State Securities Laws)- in addition to the federal securities laws, each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as "blue sky laws." Read Article.

Introduction to the Initial Public Offering Process -any offer to sell securities must be registered with the federal and/or state securities regulators, or exempt from registration. A description of the law, and the registration process. Read Article.

Introduction to Private Placements - stock offerings which are not made to the general public are called private placements, and are exempt from registration with the securities regulators. A description of the exemption, and the private placement process. Read Article

Introduction to Insider Trading - insider trading refers to two types of trading, one that is legal, and the other that is not. Read Article.