The Law of the Financial Markets from Top Securities Lawyers
Thursday, November 20, 2025
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]
Every year the SEC publishes its Examination Priorities for the coming year. We reviewed those priorities with a focus on SEC Examinations for Advisers, with a view towards where examiners will be spending their time—and where advisory firms should be concentrating their compliance resources. See the full FY 2026 Exam […]
In today’s complex regulatory environment, facing an SEC investigation can pose an existential threat for public companies. It also affects private funds, investment advisers, and broker-dealers. The key to mounting a resilient defense lies in early action, clear strategy, and rigorous discipline. I am a securities attorney specializing in regulatory investigations. I’ve outlined nine essential steps to help you defend against SEC scrutiny. These steps will protect your reputation and ensure business continuity.
The SEC’s enforcement division investigates potential violations of securities laws and regulations. Several triggers can lead to an SEC investigation: Tips and Complaints: The SEC often receives tips and complaints from whistleblowers, investors, industry insiders, or the public. If these tips suggest potential securities law violations, the SEC may investigate. Market […]
The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in… SEC Press Release For more information, contact the securities lawyers at Sallah […]
Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is a form of alternative dispute resolution […]
FINRA Fines First Trust $10 Million for Non-Cash Compensation Violations: A Warning on Supervisory Oversight and Cultural Drift FINRA’s latest $10 million sanction against First Trust Portfolios L.P. marks one of the largest penalties tied to non-cash compensation practices in recent years—and underscores how seemingly routine client-entertainment activity can evolve […]
Steps Toward Regulating the Cost of the CAT The SEC has issued a new order granting conditional exemptive relief toward certain requirements under the Consolidated Audit Trail NMS Plan (“CAT NMS Plan”), Regulation NMS Rule 613, and Rule 17a-1 under the Securities Exchange Act of 1934. This relief enables the self-regulatory […]
The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director… SEC Press Release For more information, contact the securities lawyers […]
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 […]
