The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
Other News
SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection. SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
FINRA’s Immunity
Russ Ryan argues that the Supreme Court’s recent decision in Galette v. New Jersey Transit Corporation may undermine decades of court‑created “regulatory immunity” for FINRA and other self‑regulatory organizations. The author explains that although FINRA is a private corporation not bound by constitutional limits, courts have simultaneously granted it sweeping […]
SEC Announces Roundtable on Options Market Structure Reform
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
SEC Investor Advisory Committee to Host March 12 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential… SEC Press Release For more information, contact the securities lawyers at Sallah […]
SEC, FSA Hold Spring Financial Regulatory Dialogue
Washington D.C., Feb. 27, 2026 — The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen […]
SEC Adopts Final Rules for the Holding Foreign Insiders Accountable Act
SEC Adopts Final Rules Under the Holding Foreign Insiders Accountable Act: New Section 16 Reporting Requirements for Foreign Private Issuers The Securities and Exchange Commission has adopted final rule and form amendments to implement the Holding Foreign Insiders Accountable Act (HFIA Act). These changes significantly expand insider reporting obligations for […]
SEC Announces Roundtable on Private Markets Valuation As Retail Investor Access Accelerates
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET… SEC Press Release For more information, contact the securities lawyers […]
SEC’s Division of Enforcement Announces Updates to Enforcement Manual
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit […]
SEC Proposes Amendments to Reduce Burdens in Reporting of Fund Portfolio Holdings
Washington D.C., Feb. 18, 2026 —The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant […]
