Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and the Bank of England convened a virtual meeting today to discuss certain issues… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. The […]
SECLaw Staff
FINRA Reverses Hearing Panel Decision and Dismisses Complaint against Sallah Astarita & Cox client.
In an unusual reversal and dismissal, Mark Astarita of Sallah Astarita & Cox, LLC obtained a full reversal of a Hearing Panel decision in an enforcement proceeding that barred his client for life and ordered him to pay $250,000 in restitution, plus 6 years of interest. The case, which was […]
Sallah Astarita & Cox Announces Jeffrey Cox Teaching Appointment
Sallah Astarita & Cox, LLC is pleased to announce that founding partner, Jeffrey L. Cox, will be co-teaching a course entitled “White Collar Crime” as an Adjunct Professor at Florida International University’s (FIU) College of Law this upcoming Fall semester. Mr. Cox’s teaching will be based on his more than […]
Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets
The Securities and Exchange Commission today released the agenda for the Friday, Jan. 29 meeting of its Small Business Capital Formation Advisory Committee, which will focus on the experiences of smaller public companies and the Commission’s recent… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report
The Securities and Exchange Commission today published a request for public comment on potential reform measures to improve the resilience of money market funds as highlighted in a report of the President’s Working Group on Financial Markets issued in… Read the Full Press Release Have a securities law question? Call […]
SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data
The Securities and Exchange Commission today adopted rules to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system stocks (“NMS market data”). This… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
SEC Staff Releases Report on U.S. Credit Market Interconnectedness and the Effects of the COVID-19 Economic Shock
The Securities and Exchange Commission today published a staff report titled U.S. Credit Markets: Interconnectedness and the Effects of the COVID-19 Economic Shock, which focuses on the origination, distribution and secondary market flow of… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. from […]
SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee
The Securities and Exchange Commission today released the agenda for the Oct. 5 meeting of the Fixed Income Market Structure Advisory Committee (FIMSAC). The meeting will focus on discussions regarding recent market volatility and the impact of COVID-19… Read the Full Press Release Have a securities law question? Call Sallah […]
SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets
The Securities and Exchange Commission today announced a proposal to enhance the operational transparency, system integrity, and regulatory oversight for alternative trading systems (ATSs) that trade government securities as well as repurchase and… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
SEC Monitoring Impact of Hurricane Laura on Capital Markets
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets. The SEC divisions and offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer agents, and other regulated entities and investment professionals will continue to closely track developments. They will […]
