The Law of the Financial Markets from Top Securities Lawyers
Tuesday, July 15, 2025
SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panels: Engaging with Beneficial Owners: Exploring Pass-Through […]
The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference on Emerging Trends in Asset Management on Thursday, June 5, 2025. The conference will bring together a variety of asset… SEC Press Release
FINRA Regulatory Notice 25-05, issued on March 14, 2025, proposes consolidating Rules 3270 and 3280 into a single rule—tentatively titled Rule 3290—to streamline and reduce unnecessary burdens regarding associated persons’ outside activities. The comment period for this proposal ends on May 13, 2025. Key Points of the Proposal Feedback For […]
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading.” “Hearing the public’s concerns and… SEC Press Release
The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb. 8, 2024. The compliance date for these amendments, which was originally March 12, 2025, has been extended to June 12, 2025. Form […]
SEC Takes Action Against VCP Financial and Investment Advisers for Regulatory Violations Investment Advisers Caught Selling Pre-IPO Investments Without Proper Registration The SEC has announced settled charges against three investment adviser representatives—Tamir Shabat, Danny Z. Spiegel, and Joseph J. Orlando, Jr.—for operating as unregistered brokers while selling membership interests in […]
By Mark J. Astarita, Esq. Understanding the implications of an SEC subpoena is crucial for those involved in securities law. WHILE BROKERS OFTEN BECOME upset or even angry when they are named in customer arbitration; nothing strikes fear in the hearts of licensed individuals as much as receiving an […]
Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. They are also getting tougher on investors and issuers. When you are served with an SEC subpoena, you know that they are not fun to deal with. But you must deal […]
