The Securities and Exchange Commission today proposed the rescission of overly burdensome and costly rules that require companies to provide certain climate-related information in their registration statements and annual reports. The Commission’s… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
Month: May 2026
SEC Investor Advisory Committee to Host June 4 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 4 at 10 a.m. ET to discuss private markets, passive index funds, and recommendations regarding fund… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination
The Securities and Exchange Commission (SEC) and National Futures Association (NFA) today announced that they have entered into a Memorandum of Understanding (MOU) to enhance their cooperation, coordination, and information sharing in areas of common… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Gag Rule Recinded
From my post on LinkedIn today: The SEC’s rescission of its gag rule is a welcome event, as forcing settling respondents to remain silent about the allegations they have denied is manifestly unfair. However, as detailed in this Cleary Gottlieb post, the issues surrounding an SEC settlement remain. What struck […]
SEC Proposes Transformative Reforms to Help Public Companies Conduct Registered Offerings and Simplify Reporting Requirements
The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the… SEC Press Release For more information, contact the securities […]
The SEC’s Gag Rule: Why It Matters—and Why It May Finally Be Ending
What Is the SEC’s “Gag Rule”? For decades, the SEC has used a settlement condition that most defendants learn about only when they are negotiating with the agency: if you settle, you cannot publicly deny the allegations. Formally embedded in Rule 202.5(e), the policy requires settling parties to agree that […]
Ninth Circuit Refuses to Vacate FINRA Arbitration Award Because Proceedings Were Not Recorded
From JD Supra: The Ninth Circuit Court of Appeals refused to vacate an arbitration award even though the proceedings were not recorded. In Uddin v. TD Ameritrade, Inc., 2026 WL 982854 (9th Cir. Apr. 13, 2026) (Not for Publication), the appellant appealed an award by the Financial Industry Regulatory Authority (“FINRA”) to […]
SEC Charges Corporate Attorneys with Insider Trading
SEC Charges 21 Individuals in Alleged Decade-Long Insider Trading Scheme The Securities and Exchange Commission has charged 21 individuals for their alleged roles in a wide-ranging insider trading scheme involving confidential information allegedly stolen from multiple global law firms. According to the SEC, the scheme ran for years and generated […]
SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
