The Law of the Financial Markets from Top Securities Lawyers
Sunday, October 19, 2025
The Securities and Exchange Commission today delivered a report to Congress on the 39th Annual Small Business Forum. The 2020 Forum highlighted challenges and success stories from startups to small cap companies across the country and featured discussions about women-owned, minority-owned, and rural businesses and their investors, as well as […]
The Securities and Exchange Commission today announced charges against five Atlanta-based individuals, including film producer Ryan Felton, rapper and actor Clifford Harris, Jr., known as T.I. or Tip, and three others who each promoted one of Felton’s… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
The Securities and Exchange Commission today released the agenda for the September 16, 2020, meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management and… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission announced that it has adopted rules to update and expand the statistical disclosures that bank and savings and loan registrants provide to investors, in light of changes in this sector over the past 30 years. The rules also eliminate certain disclosure items that are duplicative […]
The Securities and Exchange Commission today announced that the court-appointed receiver has begun the final distribution to investors in connection with the SEC’s action against defendants Paul Greenwood, Steven Walsh, and their affiliated WG Trading… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
The Securities and Exchange Commission today charged Daniel Kamensky, co-chair of the unsecured creditors committee in the Neiman Marcus Group Ltd. LLC Chapter 11 bankruptcy proceedings, with abusing his position on the committee to attempt to benefit a… Read the Full Press Release Have a securities law question? Call Sallah […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 24, 2020. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the Committee’s… Read the Full Press Release Have a securities law […]
The Securities and Exchange Commission today announced an award of over $2.5 million to joint whistleblowers whose tip based largely on highly probative independent analysis of a public company’s filings led to several successful enforcement actions.… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Dow welcomed three new components: Honeywell (HON), Salesforce (CRM) and Amgen (AMGN), and removed ExxonMobil (XOM), Pfizer (PFE) and Raytheon (RTN). Keep in mind that the DOW is a price weighted index, and affected by share price, not the size of the company. https://www.cnn.com/2020/08/31/investing/dow-apple-tesla-stock-market-today/index.html from SECLaw.com
The Securities and Exchange Commission (SEC) has updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list, adding 23 entities that are soliciting primarily non-U.S. investors using misleading information. The list also includes eight impersonators of genuine firms and seven bogus regulators. What is the PAUSE list? The PAUSE list is […]
