The Law of the Financial Markets from Top Securities Lawyers
Sunday, March 23, 2025
By Mark J. Astarita, Esq. Understanding the implications of an
Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. [...]What Happens If I Ignore an SEC Subpoena?
December 8, 2024
SEC Division of Examinations Announces 2025 Priorities
October 22, 2024
2025 SEC Examination Priorities: A Comprehensive Overview for Investors and Registrants The Securities and Exchange Commission [...]
SEC Adopts Rule to Update Definition of Qualifying Venture Capital Funds
August 22, 2024
SEC Adopts New Rule Increasing Threshold for Venture Capital Funds The Securities and Exchange Commission (SEC) has adopted a new [...]
Mark J. Astarita, Esq., a nationally recognized and Martindale AV-rated securities attorney, explains the SEC investigation [...]
Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. [...]
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 [...]
The SEC, FINRA, the States, and much more Introduction The history of securities regulation and federal securities law is well [...]
By: Mark J. Astarita, Esq. Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC investigation can be intimidating for individuals or organizations, and defending against it requires expertise and insight. The SEC is a powerful regulatory entity that can […]
Just about every securities broker is aware of the existence of the Protocol for Broker Recruiting (the “Broker Protocol”). Unfortunately, too many brokers think they understand the Protocol, and move forward with a transition without the assistance of experienced counsel. That leads to a motion for an injunction in court, with a […]
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 announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,… SEC Press Release
The Securities and Exchange Commission today announced that its Division of Corporation Finance is further facilitating capital formation by enhancing the accommodations available to companies for nonpublic review of draft registration statements. In… SEC Press Release
We break down the recent announcement from the Securities and Exchange Commission (SEC) regarding its Crypto Task Force. Key Takeaways: The SEC’s Crypto Task Force will host a series of roundtables, dubbed the “Spring Sprint Toward Crypto Clarity,” to discuss key areas of interest in crypto asset regulation. The inaugural […]
The Securities and Exchange Commission today announced the members of the Crypto Task Force staff, which is advising the Commission on matters related to crypto. The task force is composed of staff from the Acting Chairman’s office and other divisions… SEC Press Release
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington, D.C., on March 6, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two… SEC Press Release
The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. The event takes place on March 27 from 9 a.m. to 4 p.m. at the SEC’s headquarters in Washington, D.C. and is… SEC Press Release
The Securities and Exchange Commission today announced that the Commission has filed a joint stipulation with Coinbase Inc. and Coinbase Global Inc. to dismiss the ongoing civil enforcement action against the two entities. On January 21, 2025, the… SEC Press Release
The Securities and Exchange Commission today filed charges against Justinas Butkus, of Lithuania, and two companies he owned and controlled, HMC Trading LLC and HMC Management LLC, for fraudulently raising approximately $4.1 million from 64 investors by… SEC Press Release
The Securities and Exchange Commission today charged Alan Burak, founder of Never Alone Capital LLC, with orchestrating a fraudulent scheme that raised approximately $4 million, most of which Burak misappropriated for personal expenses. The SEC’s… SEC Press Release
The Securities and Exchange Commission today extended the compliance dates for Rule 17ad-22(e)(18)(iv)(A) and (B) under the Securities Exchange Act by one year to Dec. 31, 2026, for eligible cash market transactions, and June 30, 2027, for eligible repo… SEC Press Release
