The Law of the Financial Markets from Top Securities Lawyers
Thursday, March 19, 2026
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection. SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit Securities Lawyer
Russ Ryan argues that the Supreme Court’s recent decision in Galette v. New Jersey Transit Corporation may undermine decades of court‑created “regulatory immunity” for FINRA and other self‑regulatory organizations. The author explains that although FINRA is a private corporation not bound by constitutional limits, courts have simultaneously granted it sweeping […]
The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential… SEC Press Release For more information, contact the securities lawyers at Sallah […]
Washington D.C., Feb. 27, 2026 — The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026. The SEC–FSA Dialogue builds upon longstanding efforts between the two authorities to increase cooperation and strengthen […]
SEC Adopts Final Rules Under the Holding Foreign Insiders Accountable Act: New Section 16 Reporting Requirements for Foreign Private Issuers The Securities and Exchange Commission has adopted final rule and form amendments to implement the Holding Foreign Insiders Accountable Act (HFIA Act). These changes significantly expand insider reporting obligations for […]
