Tag: Securities Lawyer

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What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers […]

SEC Investment Advisor
Brokers Compliance

New AML Rules for Investment Advisers

On May 13, 2024, the SEC and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly issued a proposed rule (the Proposal) that, if adopted, would impose new anti-money laundering and countering the financing of terrorism (AML/CFT) compliance obligations on registered investment advisers (RIAs) and exempt reporting […]

Cryptocurrency News

SEC Missteps in the Debt Box Case

Two SEC Attorneys Resign The SEC’s Juridical Blunders The SEC encountered severe criticism following actions perceived as excessively authoritarian in its regulatory endeavors. These actions precipitated a legal reproach and subsequent resignations from the agency, highlighting the contentious and challenging landscape of regulatory practices within the nascent realm of cryptocurrency. […]