Mark J. Astarita

SEC 2024 Broker-Dealer Examination Priorities
Compliance Enforcement Investors

SEC Expands Trading Bans for Staff

The SEC has recently announced a significant overhaul of its ethics rules. These changes, designed to fortify and update the SEC’s ethics compliance framework, expands the prohibited securities transactions for the Staff and their families Strengthening the SEC’s Ethical Framework At the heart of this initiative is the collaborative effort […]

Securities and Exchange Commission
Compliance Corp Finance

SEC Adopts Rules to Enhance Investor Protections Relating to SPACs, Shell Companies, and Projections

Washington D.C., Jan. 24, 2024 New Rules for Investor Protections The Securities and Exchange Commission today adopted new rules and amendments to enhance disclosures and provide additional investor protection in initial public offerings (IPOs) by special purpose acquisition companies (SPACs) and in subsequent business combination transactions between SPACs and target […]