The Securities and Exchange Commission today released the agenda for the Friday, Jan. 29 meeting of its Small Business Capital Formation Advisory Committee, which will focus on the experiences of smaller public companies and the Commission’s recent… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
Tag: Securities Law
Melissa Hodgman Named Acting Director of Division of Enforcement
The Securities and Exchange Commission today announced Melissa R. Hodgman, currently an Associate Director in the Commission’s Division of Enforcement, has been named Acting Director of the Division of Enforcement. “Melissa’s dedication to investor… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
Analysis of Robinhood, Gamestop and Reddit Issues
The New York State Bar Association has just featured an analysis of the issues surrounding the Gamestop saga titled “What Is the SEC Going To Do About GameStop?” authored by Joshua Bautz, Esq. from the SEC law firm of Sallah Astarita & Cox, LLC. Josh discusses the potential federal securities […]
SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
The Securities and Exchange Commission today charged three individuals and their affiliated entities with running a Ponzi-like scheme that raised over $1.7 billion from securities issued by a New York-based asset management firm and registered investment… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
SEC Requests Comment on Potential Money Market Fund Reform Options Highlighted in President’s Working Group Report
The Securities and Exchange Commission today published a request for public comment on potential reform measures to improve the resilience of money market funds as highlighted in a report of the President’s Working Group on Financial Markets issued in… Read the Full Press Release Have a securities law question? Call […]
New York Now Requires Investment Advisor Registration
New York State is now requiring Investment Advisor Representatives who work in New York, or who have clients in New York, to register with the New York Investor Protection Bureau and meet certain exam requirements. The new regulation goes into effect February 1, 2021. https://www.jdsupra.com/legalnews/february-1-2021-deadline-mandatory-2498783/
SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
The Securities and Exchange Commission today charged Joseph Jackson and Colm Callan, respectively the former CEO and CFO of WageWorks Inc. with making false and misleading statements and omissions, including to the company’s auditors, that… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
SEC Charges Three in Digital Asset Frauds
he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]
Satyam Khanna Named Senior Policy Advisor for Climate and ESG
The Securities and Exchange Commission announced today that Satyam Khanna will serve as Senior Policy Advisor for Climate and ESG in the office of Acting Chair Allison Herren Lee. In this new role, Mr. Khanna will advise the agency on environmental,… Read the Full Press Release Have a securities law […]
Gamestop Investigations?
By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]
