The Securities and Exchange Commission today announced the formation of a task force that will strengthen and enhance the Division of Enforcement’s efforts to identify and combat cross-border fraud harming U.S. investors. The Cross-… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
Other News
SEC Charges Pennsylvania Resident and His Companies with $770 Million Ponzi Scheme
The Securities and Exchange Commission today charged Daryl F. Heller of Pennsylvania and his companies, Prestige Investment Group, LLC and Paramount Management Group, LLC, with operating a multi-year Ponzi scheme that resulted in investor losses of… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC and CFTC Staff Issue Joint Statement On Trading Of Certain Spot Crypto Asset Products
Staff of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) today issued a Joint Statement regarding the trading of certain spot crypto asset products. This Joint Statement clarifies staff’s views that SEC-… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC Announces Agenda and Panelists for Roundtable on Trade-Through Prohibitions
The Securities and Exchange Commission today announced the agenda and panelists for its September 18, 2025 roundtable on trade-through prohibitions. The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:15… SEC Press Release For more information, contact the securities lawyers at Sallah […]
Filing Requirements Under Rule 506(c)
For an offering under Rule 506(c) of Regulation D, the main filing requirements are: 1. Form D with the SEC 2. State “Blue Sky” Notice Filings 3. Verification of Accredited Investor Status 4. Amendments to Form D
Insider Trading Settlement in Blue Apron Stock
The SEC has announced the settlement of an insider trading investigation with David J. Minson in the securities of Blue Apron Holdings, Inc. based on material nonpublic information that Minson misappropriated from an immediate family member, a senior executive at Blue Apron(the “Blue Apron Executive”). According to the settlement document, […]
SEC Names Judge Margaret Ryan as Director of the Division of Enforcement
The Securities and Exchange Commission announced that Judge Margaret “Meg” Ryan has been named Director of the Division of Enforcement, effective Sept. 2, 2025. Acting Director of Enforcement Sam Waldon will return to his previous role as Chief Counsel for the Division. From the Press Release: “I am thrilled […]
SEC Launches New Statistics and Data Visualizations Webpage
SEC Unveils New Statistics and Data Visualizations Hub for Capital Markets The U.S. Securities and Exchange Commission (SEC) has rolled out a new online platform dedicated to delivering new statistics and data visualization page. The SEC believes that this initiative marks a significant step in enhancing transparency across U.S. capital markets, […]
SEC Issues Guidance to Help Broker-Dealers Implement U.S. Treasury Clearing Rules
he SEC has issued new FAQs to guide broker-dealers through upcoming U.S. Treasury clearing rules, with key 2026 and 2027 deadlines. Here’s what you need to know to stay compliant.
SEC Issues Guidance on Liquid Staking and Crypto Regulation
What Is Liquid Staking in Cryptocurrency? On August 5, 2025, the U.S. Securities and Exchange Commission’s (SEC) Division of Corporation Finance issued a statement clarifying how federal securities laws apply to liquid staking in crypto assets. This move provides investors and blockchain developers with much-needed guidance on a rapidly expanding […]
