The Law of the Financial Markets from Top Securities Lawyers
Friday, October 3, 2025
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
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SEC Extends Compliance Dates for Amendments to Investment Company Names Rule
March 15, 2025
SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and [...]
Tips for a Successful Securities Mediation
February 19, 2025
Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
A Ponzi scheme is a fraudulent investment operation. The operator, either an individual or organization, pays returns to its [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]
The Securities and Exchange Commission today issued an order granting conditional exemptive relief related to certain requirements of the National Market System Plan governing the Consolidated Audit Trail (CAT NMS Plan), Rule 613 of Regulation NMS, and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director… SEC Press Release For more information, contact the securities lawyers […]
The Securities and Exchange Commission today enhanced its efforts to assist broker-dealers and other market participants on the path to central clearing of U.S. Treasury securities, developing a one-stop webpage that puts the latest status updates, staff… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today published a concept release soliciting public comment on how to improve current SEC rules governing residential mortgage-backed securities (RMBS) and certain aspects of asset-backed securities (ABS) generally… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
The Securities and Exchange Commission today announced that Jon Kroeper has been named deputy director of the agency’s Division of Trading and Markets, effective Sept. 29. Mr. Kroeper twice served at the SEC before joining the Financial Industry… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the agenda and panelists for their joint September 29 roundtable on regulatory harmonization efforts. The roundtable, announced earlier this month,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two… SEC Press Release For more information, contact the […]
The Securities and Exchange Commission released a report to Congress summarizing policy recommendations made during the SEC’s 44th Annual Small Business Forum. The report provides a summary of the forum proceedings, recommendations developed by… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the confidential reporting form used by certain private fund advisers… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission today voted to approve proposed rule changes by three national securities exchanges to adopt generic listing standards for exchange-traded products that hold spot commodities, including digital assets. As a result,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
