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… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
Enforcement
SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET… SEC Press Release For more information, contact the securities lawyers […]
SEC’s Revisions to its Enforcement Manual – February 2026
By Mark J. Astarita, Esq. The Securities and Exchange Commission has announced what it labels “comprehensive revisions” to its Enforcement Manual, marking the first update since 2017. The SEC claims that the changes are designed to strengthen fairness, transparency, and procedural consistency in enforcement investigations, while improving efficiency and resource […]
SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit […]
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
Washington D.C., Feb. 18, 2026 —The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant […]
Securities Enforcement Roundup – January 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, […]
SEC Appoints New Chairman and Board Members to PCAOB
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, […]
SEC Charges ADM and Three Former Executives with Accounting and Disclosure Fraud
The SEC alleges that improper accounting practices inflated reported operating profit within the Nutrition segment during fiscal years 2019, 2021, and 2022.
SEC and CFTC Reschedule Joint Event on Harmonization, U.S. Financial Leadership in the Crypto Era
Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC… SEC Press Release For more information, contact the securities […]
