The Law of the Financial Markets from Top Securities Lawyers
Tuesday, March 10, 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 […]
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 […]
The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET… SEC Press Release For more information, contact the securities lawyers […]
The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit […]
Washington D.C., Feb. 18, 2026 —The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the SEC’s use of the data or the public’s ability to assess relevant […]
Washington D.C., Feb. 13, 2026 — The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live. Registration information and […]
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, […]
