The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
Month: June 2026
Finder Registration – 2026 Update
As I discussed in the original article, and its updates, despite years of discussion and proposals, there has been no significant changes in the regulation of finders. The SEC’s 2020 proposal for a two-tier finder exemption was never finalized. Therefore, the traditional broker-registration analysis under Exchange Act Section 15(a) still […]
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Washington D.C., June 11, 2026 — The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS. “After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than enhanced — the long-term growth of […]
SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022
The U.S. Securities and Exchange Commission established joint data standards under the Financial Data Transparency Act of 2022. The final rule establishes technical standards for data submitted to certain financial regulatory agencies. Eight additional… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Announces New Members of Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today announced five new members of the Small Business Capital Formation Advisory Committee. The new members were appointed to four-year terms and will join the 15 current … SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
