The Law of the Financial Markets from Top Securities Lawyers
Saturday, November 1, 2025
The SEC has increased its support for broker-dealers and other market participants navigating the transition to mandatory central clearing of U.S. Treasury securities. The Commission launched a dedicated “one-stop” webpage providing up-to-date information, staff statements, regulatory materials and answers to frequently asked questions. (SEC) Background to the Treasury Clearing Rule […]
The SEC recently issued a concept release inviting public input aimed at refining the regulatory framework for residential mortgage-backed securities (RMBS) and other asset-backed securities (ABS). The move comes amid a prolonged absence of public RMBS offerings and signals the Commission’s interest in reenergizing this market segment. (SEC) Why the […]
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, […]
The Securities and Exchange Commission today published a policy statement to announce that decisions about whether to accelerate the effectiveness of a registration statement will not be affected by the presence of a provision requiring arbitration of… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced four new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 16 current committee members. The committee, established pursuant to… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
