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 […]
Month: September 2025
SEC Approves Generic Listing Standards for Commodity-Based Trust Shares
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, […]
SEC Issues Policy Statement Clarifying that Mandatory Arbitration Provisions Will Not Affect Effectiveness of Registration Statements
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 […]
SEC Announces Four New Members of Investor Advisory Committee
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 & […]
SEC to Host Webinar for Large Firms on Regulation S-P
The Securities and Exchange Commission today announced it will hold a series of three compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The first event, for large firms, is a webinar scheduled for Sept. 25 from 1 p.m… SEC Press Release For more information, contact the […]
SEC Investor Advisory Committee to Host Panels to Discuss Reconsideration of the Eligibility Criteria and Regulatory Treatment of Foreign Private Issuers
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on Sept. 18, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will… SEC Press Release For more information, contact the securities lawyers […]
James Moloney Named Director of Division of Corporation Finance
The Securities and Exchange Commission today announced that James J. Moloney, a longtime and highly respected legal counsel to public companies worldwide on corporate transactions and corporate governance issues, has been named Director of the agency’s… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Crypto Task Force to Host Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force announced today it will host a public roundtable on financial surveillance and privacy on Friday, October 17 from 1 p.m. to 4 p.m. at the SEC headquarters. Following the Spring Sprint Toward… SEC Press Release For more information, contact the securities lawyers […]
Time to Update the SEC’s Wells Process
We have written about the SEC’s Wells process in the past. A Wells Notice is a notice from a regulator that it intends to bring enforcement proceeding against the recipient, and offering the opportunity to argue against those charges. In my article Responding to a Wells Notice, I examined the […]
SEC and CFTC Issue Joint Statement on Regulatory Harmonization Efforts; Will Co-Host Roundtable Sept. 29
The Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today issued a joint statement on regulatory harmonization opportunities and announced a joint roundtable to be held on Sept. 29, 2025, from 1 p.m. to 5 p.m. “It… SEC Press Release For more information, contact the securities lawyers […]
