The Law of the Financial Markets from Top Securities Lawyers
Tuesday, September 15, 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 […]
Includes Repeat Violations Resulting in a Failure to Reasonably Monitor More Than 60,000 Transactions Totaling $10 Billion WASHINGTONFINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations. FINRA found that UBS Financial again failed to establish and implement an AML compliance program reasonably expected […]
The SEC has proposed rescinding its 15-year-old rule that restricts investment advisers from doing paid work for government clients after making certain political donations.
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Sept. 3, 2026, to discuss certain… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission and the Food and Drug Administration today announced that they have entered into a Memorandum of Understanding (MOU) designed to assist the agencies in carrying out their respective missions of ensuring the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
The Securities and Exchange Commission today proposed amendments to Rule 3a12-8 under the Securities Exchange Act of 1934 to add the debt obligations of the European Union (EU) to the list of foreign government debt obligations designated as “exempted… SEC Press Release For more information, contact the securities lawyers at […]
