Securities; day trading

Article Abstract:

The article discusses the legal issues of day trading, how the suitability obligation of broker-dealers applies to day trading, both at present and in light of a National Ass'n of Securities Dealers (NASD) rule proposal and whether the inter-customer lending arrangements of day trading violate federal law.the NASD rule proposal covers Rule 2310(a) The day trading industry is treading very close to violating the Securities Act of 1933 both in marketing membership interests in limited liability companies and in arranging for high-risk loans between customers.

Laws, regulations and rules, Securities fraud, Electronic trading (Securities), Online securities trading, Bank investment contracts

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Securities law; the SEC's IPO probe

Article Abstract:

The SEC's investigation of underwriters' allocation of stock in oversubscribed initial public offerings is discussed. Average 1999 run-ups of 100% in the stock prices of firms on offer drew their attention. The underwriters' practice of "laddering" also concerns the commission.

Investigations, Going public (Securities), Initial public offerings

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Securities law; stock for legal work

Article Abstract:

Problems which can arise when lawyers accept stock in payment for legal services are discussed. Conflicts which can arise include aspects of the decision to sell the client's stock.

Legal services, Attorneys, Offices of Lawyers, Interpretation and construction, Evaluation, Lawyers, Lawyers' fees, Conflict of interests (Attorneys), Conflicts of interest (Lawyers), Securities law

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