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Tag: Securities Law
Regulators Offer Free Resource to Securities Firms to Assist in Addressing Financial Exploitation of Seniors
In recognition of World Elder Abuse Awareness Day, the U.S. Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
Renee Jones to Join SEC as Director of Corporation Finance; John Coates Named SEC General Counsel
The Securities and Exchange Commission today announced that Renee Jones has been appointed Director of the Division of Corporation Finance. John Coates, the Division’s current Acting Director, has been named SEC General Counsel. Both appointments are… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
The Securities and Exchange Commission today charged Edgar M. Radjabli of Boca Raton, Florida, and two entities he controlled for engaging in three separate securities frauds of escalating size. The SEC’s complaint alleges that Radjabli, formerly a… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Announces Annual Regulatory Agenda
The Office of Information and Regulatory Affairs today released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions. The report, which includes contributions related to the Securities and Exchange Commission, lists short- and long-term… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Investor Advisory Committee to Meet Remotely On June 10
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on June 10 by remote means. The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on the… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Approves Registration of First Security-Based Swap Data Repository
The Securities and Exchange Commission today announced that it has approved the registration of its first security-based swap data repository (SDR). With today’s registration of DTCC Data Repository (U.S.), LLC (DDR), the security-based swap market now… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
SEC Awards More Than $23 Million to Whistleblowers
The Securities and Exchange Commission today announced awards of approximately $13 million and $10 million to two whistleblowers whose information and assistance led to successful SEC and related actions. The whistleblowers’ substantial assistance, provided to the SEC and another federal agency, included submitting information and documents, participating in interviews, and […]
Sallah Astarita & Cox Announces Jeffrey Cox Teaching Appointment
Sallah Astarita & Cox, LLC is pleased to announce that founding partner, Jeffrey L. Cox, will be co-teaching a course entitled “White Collar Crime” as an Adjunct Professor at Florida International University’s (FIU) College of Law this upcoming Fall semester. Mr. Cox’s teaching will be based on his more than […]
FINRA Reopens Hearing Locations
Beginning July 5, 2021, FINRA will reopen all of its hearing locations for in-person arbitration and mediation proceedings except for the following: Augusta, Boca Raton, Buffalo, Detroit, Philadelphia, Providence and Wilmington. FINRA DRS has postponed all in-person proceedings in these seven locations through July 30, 2021. The Securities Law Blog […]
