Today the Securities and Exchange Commission announced the appointment of Renee LaRoche-Morris, Chief Operating Officer, BNY Mellon Investment Management, as a new member of the Asset Management Advisory Committee. Ms. LaRoche-Morris was appointed… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
Tag: SECLaw.com
SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today released the agenda for the Monday, Nov. 9, 2020, meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. The Committee will discuss the Commission… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Awards Over $28 Million to Whistleblower
The Securities and Exchange Commission today announced an award of over $28 million to a whistleblower who provided significant information that aided the SEC in bringing a successful enforcement action. The whistleblower internally reported… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
The Securities and Exchange Commission’s Division of Enforcement issued its annual report for fiscal year 2020 today. The report provides a comprehensive view of the Division’s accomplishments over the past year, discusses significant actions and… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
The Securities and Exchange Commission today voted to amend its rules in order to harmonize, simplify, and improve the multilayer and overly complex exempt offering framework. These amendments will promote capital formation and expand investment… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee
The Securities and Exchange Commission today released the agenda for the Nov. 5, 2020, special meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Raquel Fox, Director of the Office of International Affairs, to Depart SEC
The Securities and Exchange Commission today announced that Raquel Fox, Director of the Office of International Affairs, will leave the agency in November. The Office of International Affairs (OIA) advises the Commission on cross-border regulatory,… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Awards Over $10 Million to Whistleblower
The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation.… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000 retail investors without registration and for failing to transact its swaps on a registered… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
