The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
Enforcement
SEC Clarifies the Application of Federal Securities Laws to Crypto Assets
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC Announces Enforcement Division Director Judge Margaret A. Ryan Has Resigned From Agency
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March… SEC Press Release For more information, contact the securities lawyers at […]
SEC Proposes Amendments to Exchange Act Rule 15c2-11
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection. SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
FINRA’s Immunity
Russ Ryan argues that the Supreme Court’s recent decision in Galette v. New Jersey Transit Corporation may undermine decades of court‑created “regulatory immunity” for FINRA and other self‑regulatory organizations. The author explains that although FINRA is a private corporation not bound by constitutional limits, courts have simultaneously granted it sweeping […]
SEC Announces Roundtable on Options Market Structure Reform
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential… SEC Press Release For more information, contact the securities lawyers at Sallah […]
SEC, FSA Hold Spring Financial Regulatory Dialogue
Washington D.C., Feb. 27, 2026 — The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen […]
SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
SEC Adopts Final Rules Under the Holding Foreign Insiders Accountable Act: New Section 16 Reporting Requirements for Foreign Private Issuers The Securities and Exchange Commission has adopted final rule and form amendments to implement the Holding Foreign Insiders Accountable Act (HFIA Act). These changes significantly expand insider reporting obligations for […]
