The Securities and Exchange Commission today voted to publish a notice of a substituted compliance application by Germany’s Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) as well as a proposed order that would conditionally provide substituted… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
Mark J. Astarita
SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of over $4.3 million. In the first order, the Commission awarded a whistleblower over $3.6 million for providing important information that… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Issues Warning to Broker-Dealers on Borrowing from Fully Paid Lending Programs
The SEC Division of Trading and Markets issued a warning letter to broker-dealers operating programs in which they borrow fully paid margin securities from their customers. https://www.findknowdo.com/news/10/23/2020/sec-issues-warning-broker-dealers-borrowing-fully-paid-lending-programs
SEC Announces New Asset Management Advisory Committee Member
Today the Securities and Exchange Commission announced the appointment of Renee LaRoche-Morris, Chief Operating Officer, BNY Mellon Investment Management, as a new member of the Asset Management Advisory Committee. Ms. LaRoche-Morris was appointed… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. […]
SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission today released the agenda for the Monday, Nov. 9, 2020, meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. The Committee will discuss the Commission… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
SEC Awards Over $28 Million to Whistleblower
The Securities and Exchange Commission today announced an award of over $28 million to a whistleblower who provided significant information that aided the SEC in bringing a successful enforcement action. The whistleblower internally reported… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
The Securities and Exchange Commission’s Division of Enforcement issued its annual report for fiscal year 2020 today. The report provides a comprehensive view of the Division’s accomplishments over the past year, discusses significant actions and… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]
SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
The Securities and Exchange Commission today voted to amend its rules in order to harmonize, simplify, and improve the multilayer and overly complex exempt offering framework. These amendments will promote capital formation and expand investment… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee
The Securities and Exchange Commission today released the agenda for the Nov. 5, 2020, special meeting of the Asset Management Advisory Committee (AMAC). AMAC was formed to provide the Commission with diverse perspectives on asset management… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Raquel Fox, Director of the Office of International Affairs, to Depart SEC
The Securities and Exchange Commission today announced that Raquel Fox, Director of the Office of International Affairs, will leave the agency in November. The Office of International Affairs (OIA) advises the Commission on cross-border regulatory,… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
