The Law of the Financial Markets from Top Securities Lawyers
Thursday, February 19, 2026
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 […]
The SEC charged multiple defendants for crypto fraud on social media using fake trading platforms, WhatsApp groups, and false investment claims.
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of… SEC Press Release For more information, contact the securities […]
The Securities and Exchange Commission today announced the agenda and panelists for its Dec. 16, 2025, roundtable on Rule 611 of Regulation NMS and other associated rules and regulatory requirements.The roundtable will be held at the University of Austin… SEC Press Release For more information, contact the securities lawyers at […]
