The Law of the Financial Markets from Top Securities Lawyers
Monday, October 20, 2025
On May 21, 2024, SEC Chair Gary Gensler issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their stock on a Monday, shortening the settlement cycle will allow […]
The Securities and Exchange Commission today provided exemptive relief to certain registrants affected by the permanent suspension of BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “BF Borgers”), from appearing and practicing before the… SEC Press Release
May 16, 2024 — The SEC has announced significant amendments to Regulation S-P, aimed at modernizing and fortifying the protection of consumers’ nonpublic personal information within certain financial institutions. These amendments mark an important step in adapting regulatory frameworks to the evolving landscape of technology and the attendant risks, which […]
The Securities and Exchange Commission today announced that Tina Diamantopoulos has been named Director of the Chicago Regional Office, the Commission’s second-largest regional office. Ms. Diamantopoulos is a 30-year veteran of the SEC and has held… SEC Press Release
May 15, 2024 — The SEC staff has released a new report on Investment Adviser Statistics. This report, based on aggregated data filed by investment advisers on Form ADV, will be updated annually. It provides the public with valuable insights into the investment advisory industry, covering aspects such as business […]
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder, Christopher Conover, for breaching their fiduciary duties by failing to… SEC Press Release
The Securities and Exchange Commission is seeking candidates to fill a limited number of vacancies on the agency’s Small Business Capital Formation Advisory Committee, which provides advice and recommendations to the Commission on rules, regulations, and… SEC Press Release
Today the Securities and Exchange Commission and the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed a new rule that would require SEC-registered investment advisers (RIAs) and exempt reporting advisers (… SEC Press Release
The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning Dick’s Sporting Goods Inc. and trading on that information, realizing… SEC Press Release
Washington D.C., May 3, 2024 —The Securities and Exchange Commission today charged audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers (together, “Respondents”), with deliberate and systemic failures to comply with Public Company Accounting Oversight Board (PCAOB) standards in its audits and reviews incorporated in more than […]
