The Securities and Exchange Commission today proposed amendments to its rules and forms governing registered offerings that are designed to increase efficiency, flexibility, and cost savings for public companies while maintaining robust investor… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
Other News
SEC Rescinds Policy Regarding Denials of Settlements in Enforcement Actions
The Securities and Exchange Commission today rescinded a policy, codified in Rule 202.5(e) of its informal rules of procedures, stating that when it chooses to settle an enforcement action in which a sanction is imposed, it will not settle unless the… SEC Press Release For more information, contact the securities […]
The SEC’s Gag Rule: Why It Matters—and Why It May Finally Be Ending
What Is the SEC’s “Gag Rule”? For decades, the SEC has used a settlement condition that most defendants learn about only when they are negotiating with the agency: if you settle, you cannot publicly deny the allegations. Formally embedded in Rule 202.5(e), the policy requires settling parties to agree that […]
SEC Charges 21 Individuals with Alleged Wide-Reaching Insider Trading Scheme
The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Proposes Amendments to Permit Optional Semiannual Reporting by Public Companies
The Securities and Exchange Commission today proposed rule and form amendments that would give public companies the option of filing semiannual reports in lieu of quarterly reports to meet their interim reporting obligations under the federal securities… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
SEC Refocuses Enforcement on Fraud, Investor Protection in FY 2025
The SEC released its FY 2025 enforcement results, marking a shift away from the prior Commission’s emphasis on headline-driven case volume and toward a more traditional, fraud-centered enforcement philosophy. Chairman Paul S. Atkins and Commissioner Mark Uyeda emphasized a return to Congress’s original intent by prioritizing cases that directly protect […]
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
Washington D.C., April 20, 2026 — The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The agencies proposed to amend Form PF, the confidential reporting form for […]
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of… SEC Press Release For more information, contact the securities lawyers at […]
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open… SEC Press Release For more information, contact the securities lawyers […]
