The Law of the Financial Markets from Top Securities Lawyers
Monday, February 9, 2026
From Morgan Lewis, a monthly summary of securities enforcement developments from January 2026. Here is a concise, integrated summary of the points you provided: During this period, the SEC continued its enforcement activity with public company accounting and disclosure issues. It maintained a focus on the life sciences sector. Additionally, […]
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 SEC charged multiple defendants for crypto fraud on social media using fake trading platforms, WhatsApp groups, and false investment claims.
Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is a form of alternative dispute resolution […]
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by a customer, and whose firm offers to provide an attorney to represent both the broker and the firm. The question is always, do I need my own attorney? […]
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 […]
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 […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on June 5, 2025, at 10 a.m. ET. The meeting will also be webcast on the SEC website. The committee will host two panels: Engaging with Beneficial Owners: Exploring Pass-Through […]
Understanding Capital Formation in Emerging Markets The U.S. Securities and Exchange Commission (SEC) has released three in-depth research reports through its Division of Economic and Risk Analysis (DERA) that shed light on how capital is raised in the United States, particularly among smaller issuers and private funds. These reports analyze […]
On April 10, 2025, the SEC’s Division of Corporation Finance released a staff statement outlining its views on the disclosure obligations under federal securities laws for securities offerings and registrations that may involve issuers operating in the crypto asset sector. The Staff highlighted recurring disclosure issues identified during its reviews […]
