FINRA Regional Office Reorganization – Effective December 8, 2025 FINRA just announced that there is going to be an organizational change at DRS. Effective December 8, 2025, DRS is consolidating from four regions to three: East (New York), Central (Chicago), and West (Los Angeles). The statement claims that the streamlined […]
Other News
The Insider Trading Compliance Checklist: 21 Red Flags Every Firm Must Monitor
By Mark J. Astarita, Esq. Introduction Insider trading remains one of the most aggressively enforced areas of securities regulation. Firms must monitor not only the conduct of executives and employees, but also the actions of contractors, vendors, consultants, and even family members of insiders. This checklist highlights 21 critical red […]
Insider Trading Lawyer & Compliance Defense
Insider Trading Lawyer for SEC & FINRA Investigations – Protect your reputation, your license, and your future. If you or your firm is facing questions about insider trading, early counsel is critical. Regulatory agencies—including the SEC, FINRA, and the Department of Justice—prioritize insider trading enforcement and aggressively pursue civil and […]
SEC Investor Advisory Committee to Host Dec. 4 Meeting on Regulatory Changes in Corporate Governance, the Tokenization of Equity Securities
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on Dec. 4, 2025, at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host two panels:Regulatory Changes in Corporate… SEC Press Release For more information, contact the securities lawyers at […]
Cristina Martin Firvida to Conclude Tenure as Investor Advocate
The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As… SEC Press Release For more information, contact the securities lawyers […]
SEC Announces Roundtable on Rule 611 of Regulation NMS at the University of Austin
The Securities and Exchange Commission announced today that it will hold a roundtable on Dec. 16, 2025, to discuss Rule 611 of Regulation NMS and other, associated rules and regulatory requirements. This roundtable is a follow-up to the SEC’s Sept. 18,… SEC Press Release For more information, contact the securities […]
SEC Announces New Date and Time for Roundtable on Financial Surveillance and Privacy
The Securities and Exchange Commission’s Crypto Task Force has rescheduled its Financial Surveillance and Privacy Roundtable, previously scheduled for October, to Monday, Dec. 15, 2025.“I am looking forward to getting this event back on the calendar… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
What the SEC’s 2026 Examination Priorities Mean for Investment Advisers
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 […]
9 Proven Strategies for Defending an SEC Investigation
In today’s complex regulatory environment, facing an SEC investigation can pose an existential threat for public companies. It also affects private funds, investment advisers, and broker-dealers. The key to mounting a resilient defense lies in early action, clear strategy, and rigorous discipline. I am a securities attorney specializing in regulatory investigations. I’ve outlined nine essential steps to help you defend against SEC scrutiny. These steps will protect your reputation and ensure business continuity.
What Triggers an SEC Investigation
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 […]
