SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The […]
Author: Mark J. Astarita
SEC Releases New Data on Broker-Dealers, M&A, and BDCs: Key Insights for Investors
On June 26, 2025, the Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published new reports and datasets, offering valuable insights into broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). These releases aim to boost transparency and deepen understanding of market dynamics. Here’s a breakdown […]
SEC Subpoenas – Tips for Responding – 2025
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
What is Securities Arbitration?
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
SEC Committee to Examine Pass-Through Voting and Other Means of Reaching the Ultimate Beneficial Owner; Discuss Market Perspectives on Non-GAAP Financial Disclosures at June 5 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 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panels: Engaging with Beneficial Owners: Exploring Pass-Through […]
SEC Announces Agenda, Panelists for Roundtable on Crypto DeFi
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its June 9 roundtable, “DeFi and the American Spirit.” “DeFi exemplifies the promise of crypto, as it allows people to interact without intermediaries,” said Commissioner Hester M. Peirce, head of the Crypto Task Force. “I look […]
SEC Publishes Data on Regulation A, Crowdfunding Offerings, and Private Fund Beneficial Ownership Concentration
Understanding Capital Formation in Emerging Markets The U.S. Securities and Exchange Commission (SEC) has released three in-depth research reports through its Division of Economic and Risk Analysis (DERA) that shed light on how capital is raised in the United States, particularly among smaller issuers and private funds. These reports analyze […]
SEC Charges Former Real-Estate Investment CEO with Operating Multimillion Dollar Ponzi-Like Scheme
The Securities and Exchange Commission today charged San Francisco Bay Area resident Kenneth Mattson, the former CEO of real estate investment business LeFever Mattson, with defrauding approximately 200 investors of at least $46 million by selling them… SEC Press Release
Unicoin, Top Executives Charged in Offering Fraud That Raised More than $100 Million from Thousands of Investors
The Securities and Exchange Commission today charged New York City-based Unicoin, Inc. and three of its top executives—CEO and Board Chairman Alex Konanykhin; Silvina Moschini, former president, former board chairwoman, and current board member; and… SEC Press Release
Katherine Reilly Named SEC Acting Inspector General
The Securities and Exchange Commission today announced the appointment of Katherine Reilly as the agency’s Acting Inspector General. Ms. Reilly is currently serving as a Deputy Inspector General at the SEC. She replaces Deborah Jeffrey, who has… SEC Press Release