The Law of the Financial Markets from Top Securities Lawyers
Tuesday, October 20, 2026
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
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 U.S. Securities and Exchange Commission (SEC) and the French Autorité des Marchés Financiers (AMF) announced that they have entered into a Memorandum of Understanding (MOU) designed to facilitate consultation and information-sharing in the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission announced today that it will host a roundtable on November 9, 2026, to discuss the use of machine-understandable data and Super Intelligence (SI) and related risks and costs.“In the age of SI, high-quality… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, October 27, 2026, at 10 a.m. to continue discussing IPO modernization and explore potential policy… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
FINRA’s 2026 intraday margin rule eliminated the pattern day trader designation and the $25,000 minimum, but FINRA Rules 2130 and 2270 remain in force. Securities attorney Mark J. Astarita discusses the supervisory, enforcement and arbitration exposure for broker-dealers and practical defense steps.
The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Publishes New Examination Handbook for Regulated Firms The Securities and Exchange Commission’s Division of Examinations published a new handbook on October 1, 2026, giving regulated firms a more detailed guide to the SEC examination process. “The SEC Exam Handbook: A Practical Guide on Process and Engagement” replaces and expands […]
