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The Securities Law Blog

The Securities Law Blog. News and commentary on the law of the financial markets. From SECLaw.com, online since 1995, updated daily. Friday, August 14, 2015. Be Prepared - Clients Now Asking About Compliance Procedures. I still found it interesting that a recent survey conducted by the Wall Street Journal fournd that a significant number of securities professionals reported that prospective clients asked to review their firm's compliance policies or to interview compliance personnel. Links to this post.

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The Securities Law Home Page

SECLaw.com has been online since 1995 and is the result of the work of noted securities attorney Mark Astarita. Tips for Responding to an SEC Subpoena. Parking Stock Is Illegal. It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the "ordinary course of business" is actually a securities law violation, with significant consequences. Introduction to Securities Arbitration. Registration and Regulation of Investment Advisors. Less FINRA re...

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Securities law on the move. New Contact Us Widget 1. Powered by InstantPage® from GoDaddy.com. Want one?

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Home | SEC Law Firm

Securities, Enterprise and Corporate Law for Today’s Growing Business. Print and Media Interviews. When you need experience. When you need knowledge. 2013 SEC Law Firm.

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SecLawn

As IT assets and stored data continue to grow in distributed and complex manner, managing its security becomes one of the foremost concerns of any institution. We at SecLawn understand the importance of a securing the IT assets for our clients and provide solutions for the following security concerns:. Loss of Proprietary Data. Our in depth analysis identifies critical assets and provides periodic assessment reports. 896, 1st Block, 6th Main Road,. Koramangala, Bangalore - 560034. Office: 91 080 4170 6232.

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David Scott and Allen PLLC - Home Page

David, Scott and Allen PLLC. Global Securities Law Practice. We also understand the difference between simply assisting our clients to draft offering and disclosure documents and helping guide them to opportunities, investors and relationships; thus we are able to leverage our industry knowledge and contacts with underwriters, investment banks, hedge funds and PIPE funds to identify possible partners who can help our clients grow their businesses in an efficient manner. We have seasoned securities practi...

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