The Law of the Financial Markets from Top Securities Lawyers
Friday, January 30, 2026
The Securities and Exchange Commission today announced that J. Russell “Rusty” McGranahan has been named SEC General Counsel. As the SEC’s chief legal officer, Mr. McGranahan will oversee the provision of legal expertise and advice to the Office of the… SEC Press Release For more information, contact the securities lawyers […]
FINRA has filed a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others). The change will increase the gift limit from $100 to $300 per person per year. It will also provide for exemptive relief and incorporate existing guidance and interpretive letters. The proposed rule […]
The Securities and Exchange Commission today announced that Paul H. Tzur and David M. Morrell have been named as Deputy Directors of the Division of Enforcement. Mr. Tzur joined the Commission on January 6, 2026, as the Deputy Director overseeing the… SEC Press Release For more information, contact the securities […]
The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is… SEC Press Release For more information, contact the […]
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics nationwide. The report presents data across three company lifecycle stages to provide a fulsome picture of […]
The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
One of the most consequential developments in securities litigation has been the SEC’s shift toward permitting companies to issue stock conditioned on mandatory arbitration of investor disputes. If broadly adopted, this approach could fundamentally reshape the enforcement landscape. It provides issuers with a powerful mechanism to sidestep class actions. At […]
The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025.“I am thankful to Nekia for answering the call to… SEC Press Release For more information, contact the securities lawyers at Sallah […]
A request under FINRA Rule 8210 is a very serious regulatory event. It can be addressed by a registered representative, a broker-dealer, or an associated person. These requests are not informal inquiries. They are compulsory demands supported by FINRA’s disciplinary authority. Failing to respond fully, accurately, and on time can […]
