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 […]
Month: September 2025
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 […]
SEC Announces Formation of Cross-Border Task Force to Combat Fraud
The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforcement’s efforts to identify and combat cross-border fraud harming U.S. investors. The Cross-… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme
The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and Paramount Management Group, LLC, with operating a multi-year Ponzi scheme that resulted in investor losses of… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC and CFTC Staff Issue Joint Statement On Trading Of Certain Spot Crypto Asset Products
Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement regarding the trading of certain spot crypto asset products. This Joint Statement clarifies staff’s views that SEC-… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
