The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
Author: SECLaw Staff
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET… SEC Press Release For more information, contact the securities lawyers […]
SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit […]
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
Washington D.C., Feb. 18, 2026 —The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant […]
SEC Announces 45th Annual Small Business Forum to Improve Capital-Raising Policy
Washington D.C., Feb. 13, 2026 — The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and […]
SEC Publishes Data on Exchange Traded Funds and Fund Mergers; Updated Statistics on Municipal Advisors, Transfer Agents, and Security-Based Swap Dealers
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange-traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and security-based swap dealers (SBSDs). The reports provide the public with information about the growth in […]
SEC Appoints New Chairman and Board Members to PCAOB
The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
The SEC alleges that improper accounting practices inflated reported operating profit within the Nutrition segment during fiscal years 2019, 2021, and 2022.
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC… SEC Press Release For more information, contact the securities […]
SEC Seeks Candidates for Membership on the Investor Advisory Committee
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, established pursuant to Section 39 of the Securities Exchange Act of 1934 to help protect investors and improve securities… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
