The Law of the Financial Markets from Top Securities Lawyers
Thursday, January 15, 2026
The SEC’s enforcement division investigates potential violations of securities laws and regulations. Several triggers can lead to an SEC investigation: Tips and Complaints: The SEC often receives tips and complaints from whistleblowers, investors, industry insiders, or the public. If these tips suggest potential securities law violations, the SEC may investigate. Market […]
The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in… SEC Press Release For more information, contact the securities lawyers at Sallah […]
Steps Toward Regulating the Cost of the CAT The SEC has issued a new order granting conditional exemptive relief toward certain requirements under the Consolidated Audit Trail NMS Plan (“CAT NMS Plan”), Regulation NMS Rule 613, and Rule 17a-1 under the Securities Exchange Act of 1934. This relief enables the self-regulatory […]
The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission today announced that Stacey Bowers, who has served as the Director of the Office of the Advocate for Small Business Capital Formation, will depart the agency effective October 17, 2025. She has served as Director… SEC Press Release For more information, contact the securities lawyers […]
The Securities and Exchange Commission today announced that Jon Kroeper has been named deputy director of the agency’s Division of Trading and Markets, effective Sept. 29. Mr. Kroeper twice served at the SEC before joining the Financial Industry… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced the agenda and panelists for their joint September 29 roundtable on regulatory harmonization efforts. The roundtable, announced earlier this month,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or […]
The Securities and Exchange Commission today announced that Ken Johnson, who has been serving as Chief Operating Officer (COO) since December 2017, will retire from the agency in December. “Ken has been an integral leader at the SEC for more than two… SEC Press Release For more information, contact the […]
The Securities and Exchange Commission released a report to Congress summarizing policy recommendations made during the SEC’s 44th Annual Small Business Forum. The report provides a summary of the forum proceedings, recommendations developed by… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the confidential reporting form used by certain private fund advisers… SEC Press Release For more information, contact the securities lawyers at Sallah […]
