The Law of the Financial Markets from Top Securities Lawyers
Thursday, December 11, 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 […]
The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for… SEC Press Release For more information, contact the […]
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17… SEC Press Release For more information, contact the securities lawyers […]
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its rescheduled Roundtable on Financial Surveillance and Privacy.“New technologies give us a fresh opportunity to recalibrate financial surveillance… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
FINRA Regional Office Reorganization – Effective December 8, 2025 FINRA just announced that there is going to be an organizational change at DRS. Effective December 8, 2025, DRS is consolidating from four regions to three: East (New York), Central (Chicago), and West (Los Angeles). The statement claims that the streamlined […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As… SEC Press Release For more information, contact the securities lawyers […]
The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,… SEC Press Release For more information, contact the securities […]
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
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 […]
