The Law of the Financial Markets from Top Securities Lawyers
Monday, February 9, 2026
From Morgan Lewis, a monthly summary of securities enforcement developments from January 2026. Here is a concise, integrated summary of the points you provided: During this period, the SEC continued its enforcement activity with public company accounting and disclosure issues. It maintained a focus on the life sciences sector. Additionally, […]
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 […]
The SEC recently amended Regulation S-P. This significantly updates how covered financial institutions must approach data protection and incident response. These amendments are designed to modernize privacy protections and expand the scope of what constitutes required safeguards for customer information. The amendments shift the focus from traditional policies. They move […]
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, […]
FINRA has filed a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others). The change will increase the gift limit from $100 to $300 per person per year. It will also provide for exemptive relief and incorporate existing guidance and interpretive letters. The proposed rule […]
A request under FINRA Rule 8210 is a very serious regulatory event. It can be addressed by a registered representative, a broker-dealer, or an associated person. These requests are not informal inquiries. They are compulsory demands supported by FINRA’s disciplinary authority. Failing to respond fully, accurately, and on time can […]
The Securities and Exchange Commission today announced it will hold the second in its series of compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The event, for transfer agents, is a webinar scheduled for December 17 from 1 p.m. to 2 p.m. ET. The third event […]
Every year the SEC publishes its Examination Priorities for the coming year. We reviewed those priorities with a focus on SEC Examinations for Advisers, with a view towards where examiners will be spending their time—and where advisory firms should be concentrating their compliance resources. See the full FY 2026 Exam […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
The SEC has increased its support for broker-dealers and other market participants navigating the transition to mandatory central clearing of U.S. Treasury securities. The Commission launched a dedicated “one-stop” webpage providing up-to-date information, staff statements, regulatory materials and answers to frequently asked questions. (SEC) Background to the Treasury Clearing Rule […]
