The Securities and Exchange Commission today voted to approve orders to permit in-kind creations and redemptions by authorized participants for crypto asset exchange-traded product (ETP) shares. The orders approved today reflect a departure from… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
Other News
SEC Announces George Botic to Serve as Acting Chair of the Public Company Accounting Oversight Board
The Securities and Exchange Commission announced today that it has designated George R. Botic to serve as Acting Chair of the Public Company Accounting Oversight Board, effective July 23, 2025. Current PCAOB Chair Erica Y. Williams has resigned from the… SEC Press Release For more information, contact the securities lawyers […]
SEC Announces Roundtable on Trade-Through Prohibitions
The Securities and Exchange Commission announced today that it will host a roundtable on September 18, 2025, to discuss trade-through prohibitions in the National Market System (NMS) stock and listed options markets. “Reg NMS and its Rule 611 have… SEC Press Release For more information, contact the securities lawyers at […]
SEC Advisory Committee to Examine Regulation A and “Finders” in July 2025 Meeting
SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The […]
SEC Releases New Data on Broker-Dealers, M&A, and BDCs: Key Insights for Investors
On June 26, 2025, the Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published new reports and datasets, offering valuable insights into broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). These releases aim to boost transparency and deepen understanding of market dynamics. Here’s a breakdown […]
Regulators to Hold Outreach Event for Municipal Market Professionals
The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require certain… SEC Press Release For more information, contact the securities lawyers at […]
SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
Kevin Muhlendorf Named SEC Inspector General
The Securities and Exchange Commission today announced that Kevin Muhlendorf will be the agency’s new Inspector General, effective July 28. Mr. Muhlendorf is a former SEC and Justice Department attorney who for the past nine years has been a partner in… SEC Press Release For more information, contact the securities […]
