The Securities and Exchange Commission today proposed Regulation E-Delivery, a new rule that would expand the ability of issuers, broker-dealers, investment advisers, and others to use electronic delivery to satisfy information delivery requirements… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
Author: SECLaw Staff
SEC Office of Municipal Securities Updates FAQs for Registration of Municipal Advisors
The Securities and Exchange Commission’s Office of Municipal Securities today announced it has updated its Registration of Municipal Advisors FAQs webpage to offer more clarity on municipal advisor registration and recordkeeping requirements. The… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
SEC Small Business Advisory Committee to Explore Modernizing Market Access
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, July 21, 2026 at 10 a.m. to explore ways to modernize public market access and encourage IPOs… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC to Host Virtual Roundtable on Modernizing IPOs and Expanding Access to Public Markets
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance will co-host a livestreamed discussion on Monday, July 13, 2026, at 2 p.m. to re-examine… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities […]
SEC Forms New Retail Fraud Working Group
The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Names Paul Knight as Chief Operating Officer
The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC’s operational and administrative functions, including the agency’s Office of… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance data… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Seeks Public Comment on Novel Exchange-Traded Funds
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
