The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn… SEC Press Release For more information, contact the securities lawyers at […]
Author: SECLaw Staff
SEC Announces Enforcement Results for Fiscal Year 2025
The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.… SEC Press Release For more information, contact the securities lawyers at […]
SEC Highlights Financial Independence During Financial Literacy Month
The Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA) today announced that as part of April’s National Financial Literacy Month it will highlight financial planning tools and resources on Investor.gov to… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Approves Amendment to NMS Plan to Further Reduce the Costs of the Consolidated Audit Trail
The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Publishes Data on Public and Private Offerings, Municipal Advisors, Transfer Agents, and Securities-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March… SEC Press Release For more information, contact the securities lawyers at […]
SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection. SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
