The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
Other News
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC’s Division of Examinations Announces New Exam Handbook
SEC Publishes New Examination Handbook for Regulated Firms The Securities and Exchange Commission’s Division of Examinations published a new handbook on October 1, 2026, giving regulated firms a more detailed guide to the SEC examination process. “The SEC Exam Handbook: A Practical Guide on Process and Engagement” replaces and expands […]
SEC Proposal Would Address How Investment Advisers and Funds Can Custody Crypto Assets Under the Federal Securities Laws
The Securities and Exchange Commission today proposed new rules and amendments to provide a tailored framework for the custody of crypto assets for registered investment advisers and regulated funds, i.e. registered investment companies and business… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Charges Meyer Global Management and Its CEO With Defrauding Retail Investors in Private Funds That Held Interests in SpaceX and Other Pre-IPO Securities
The Securities and Exchange Commission today charged private fund adviser Meyer Global Management LLC (MGM) and its CEO, Owen E.H. Meyer, with defrauding investors and MGM-managed funds in connection with investments in SpaceX and other pre-IPO… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or… SEC Press Release For more information, contact the securities lawyers at […]
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
