The Law of the Financial Markets from Top Securities Lawyers
Saturday, May 30, 2026
By: Mark J. Astarita, Esq. In the article linked below, the authors believe that the landscape of SEC enforcement is changing. According to this article, entities and individuals facing SEC actions are winning, or not losing as much. Of course, the examples in the article are purely anecdotal, and there […]
The Securities and Exchange Commission today announced that it obtained a temporary asset freeze, restraining order, and other emergency relief against Mmobuosi Odogwu Banye a/k/a Dozy Mmobuosi and three affiliated U.S. based entities of which he is the… SEC Press Release
On Friday, the Securities and Exchange Commission asked a federal appeals court to reconsider a ruling that it said prevents the agency from clawing back ill-gotten gains in cases in which laws were violated but no victims were harmed. But that is the point of the Supreme Court decision in […]
SEO Title: Understanding the Evolving Accredited Investor Definition: A Comprehensive SEC Report Analysis Introduction to the SEC’s Review of Accredited Investors The SEC has released an in-depth staff report concerning the definition of an accredited investor. This action aligns with the Dodd-Frank Wall Street Reform and Consumer Protection Act mandates, […]
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2023 Annual Report today to Congress and the Commission. The report details how entrepreneurs and investors are building companies together,… SEC Press Release
The Securities and Exchange Commission today approved the 2024 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. The 2024 PCAOB budget totals $384.7 million, and the accounting support fee… SEC Press Release
SEC Small Business Capital Formation Advisory Committee Meeting Agenda The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee has announced the agenda for its upcoming meeting on Wednesday, Nov. 29. The meeting will delve into key topics concerning small businesses and investors. Morning Session: Accredited Investor Definition Discussion […]
A Recap of Fiscal Year 2023 Enforcement Actions The Securities and Exchange Commission (SEC) has continued its enforcement actions, announcing a total of 784 enforcement actions during fiscal year 2023. Here are the securities litigation enforcement highlights from the SEC for the past year. Diverse Enforcement Landscape Stand-Alone Actions Surge […]
The Securities and Exchange Commission today announced settled charges against Charter Communications Inc. for violating internal accounting controls requirements relating to its stock buybacks. According to the SEC’s order, Charter’s board… SEC Press Release
The Securities and Exchange Commission today announced that Charlotte-based Albemarle Corporation, a global specialty chemicals company, agreed to pay more than $103.6 million to settle the SEC’s charges that it violated the anti-bribery, recordkeeping,… SEC Press Release
