The Securities and Exchange Commission today announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors.The Retail Fraud Working Group… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
Enforcement
SEC Names Paul Knight as Chief Operating Officer
The Securities and Exchange Commission today announced that Paul Knight has been named as the agency’s Chief Operating Officer (COO).As COO, Mr. Knight will oversee the SEC’s operational and administrative functions, including the agency’s Office of… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including three new asset-backed securities (ABS) issuance data… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Seeks Public Comment on Novel Exchange-Traded Funds
The Securities and Exchange Commission today issued a request for public comment on exchange-traded funds (ETFs) seeking to invest in innovative asset classes or engage in novel investment strategies. The request focuses on ways to facilitate innovation… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential approaches to further harmonize regulatory frameworks applicable to portfolio margining across securities,… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Appoints Kathleen Hutchinson as Director of Office of International Affairs
The Securities and Exchange Commission has appointed Kathleen M. Hutchinson as Director of the agency’s Office of International Affairs (OIA). OIA advises the Commission on international policy matters, coordinates with foreign authorities across the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC, CFTC Seek Public Input on Data Reporting Frameworks for Security-Based Swap and Swap Markets
The Securities and Exchange Commission and Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to harmonize, modernize, and streamline data reporting requirements in their regulation of the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC, CFTC Seek Public Comment to Further Clarify and Harmonize Derivatives Product Definitions
The Securities and Exchange Commission and the Commodity Futures Trading Commission today issued a joint request for public comment on potential opportunities to further update, clarify, and harmonize certain derivatives product definitions and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Appoints John Moses as Director of the Office of Investor Education and Assistance
The Securities and Exchange Commission has appointed John Moses as Director of the agency’s Office of Investor Education and Assistance, which provides services and resources to help investors build their financial futures and protect against investment… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Proposes Rescission of Regulation NMS Rules 611 and 610(e)
Washington D.C., June 11, 2026 — The Securities and Exchange Commission today proposed amendments to rescind Rules 611 and 610(e) of Regulation NMS. “After two decades of Rule 611, it is high time that the Commission review its unintended consequences that have hindered — rather than enhanced — the long-term growth of […]
