The Law of the Financial Markets from Top Securities Lawyers
Thursday, October 2, 2025
The Securities and Exchange Commission today announced that it proposed rule amendments governing beneficial ownership reporting under Exchange Act Sections 13(d) and 13(g). The proposed amendments would update those rules to provide more timely information to meet the needs of today’s financial markets. “These amendments would update our reporting requirements […]
The Securities and Exchange Commission today announced that Kelly L. Gibson, Director of the Philadelphia Regional Office, will leave the agency on Feb. 11 after 14 years of service. Joy Thompson and Scott Thompson will replace her as Acting Co-Directors… Read the Full Press Release Have a securities law question? […]
Changes will Benefit Whistleblowers The U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower is a division of the Commission charged with protecting the rights of individuals who come forward with information regarding misconduct by public companies, accounting firms, and other persons and entities covered by the securities laws. […]
A robo-adviser is an automated investment tool that uses mathematical algorithms to evaluate the prospects of various investment options and, in theory, choose the best one. Robo-advisors are digital platforms that provide automated, algorithm-driven financial planning services with little to no human supervision. A typical robo-advisor collects information from clients […]
It is always good to know what regulators are going to focus on, and to prepare for that exam. Today FINRA released its 2022 Report on Examination and Risk Monitoring Program (the Report). While not a road map it provides firms with information that may help inform their compliance programs. […]
The Securities and Exchange Commission today voted to propose rule changes to reduce risks in the clearance and settlement of securities, including by shortening the standard settlement cycle for most broker-dealer transactions in securities from two… Read the Full Press Release Have a securities law question? Call New York Securities […]
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee released the agenda for its Thursday, February 10 virtual meeting, which will cover small business investment issues. The Committee, which provides advice and… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age.… Read the Full Press Release Have a securities law question? Call New York Securities […]
The Securities and Exchange Commission today issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), providing a summary of the SEC staff’s examinations of NRSROs and discussing the state of competition, transparency, and conflicts of interest among NRSROs. The Staff Report also discusses the Commission’s role in […]
The SEC is proposing to amend Form PF for certain SEC-registered advisors to private funds. The amendments will affect the disclosure of the fees and other compensation that are paid to a registered representative of an adviser of a private fund. In this Notice, we refer to the “proposed amendments” […]
