The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in… SEC Press Release
Author: Mark J. Astarita
What Does a Securities Lawyer Do?
Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers […]
9 Proven Strategies for Defending an SEC Investigation
By: Mark J. Astarita, Esq. Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC investigation can be intimidating for individuals or organizations, and defending against it requires expertise and insight. The SEC is a powerful regulatory entity that can […]
SEC Updates Website to Improve Compliance, Functionality, and User Experience
The Securities and Exchange Commission today announced enhancements to its website to improve compliance with federal statutes and standards as well as the site’s functionality. The updates will improve the website’s user experience for market… SEC Press Release
SEC Adopts Tailored Registration Form for Offerings of Registered Index-Linked and Registered Market-Value Adjustment Annuities
The Securities and Exchange Commission today adopted tailored disclosure requirements and offering processes for offerings of registered index-linked annuities (RILAs) and registered market value adjustment annuities (registered MVA annuities, and… SEC Press Release
SEC Charges Silvergate Capital, Former CEO for Misleading Investors about Compliance Program
The Securities and Exchange Commission today charged Silvergate Capital Corporation, its former CEO Alan Lane, and former Chief Risk Officer (CRO) Kathleen Fraher with misleading investors about the strength of the Bank Secrecy Act/Anti-Money Laundering… SEC Press Release
SEC Charges Consensys Software for Unregistered Offers and Sales of Securities through its MetaMask Staking Service
The Securities and Exchange Commission today charged Consensys Software Inc. with engaging in the unregistered offer and sale of securities through a service it calls MetaMask Staking and with operating as an unregistered broker through MetaMask Staking… SEC Press Release
SEC Office of the Investor Advocate Delivers Report to Congress on Objectives for Fiscal Year 2025
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the Office’s objectives for fiscal year 2025. As detailed in the Report, the Investor Advocate’s priorities for fiscal year 2025… SEC Press Release
SEC Charges Meta Materials and Former CEOs with Market Manipulation, Fraud and Other Violations
The Securities and Exchange Commission today filed charges against Meta Materials Inc. and its former CEOs, John Brda and George Palikaras. The company has agreed to settle the SEC’s charges in an administrative proceeding, while the SEC’s litigation… SEC Press Release
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 24 soliciting entities, six impersonators of genuine firms, and four… SEC Press Release
