Corp Finance

Arbitration Hearing
Arbitration Brokers Compliance Corp Finance Enforcement Investors Private Placements Public Offerings

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 While securities law is itself a specialized field of law, there is more than one type of […]

lordstown motors
Enforcement Private Placements

SEC Charges Silver Edge Financial LLC and Equity Acquisition Company Ltd. with Unregistered Broker-Dealer Activity

On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]

Form 10-K, Form 10-Q
Corp Finance Public Offerings

Tips for Going Public

Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and opportunities, such as access to new capital, increased visibility, and enhanced credibility. However, the process of going public can be quite complex and challenging. In this article, […]

SEC 2024 Broker-Dealer Examination Priorities
Brokers Compliance Corp Finance News

SEC Publishes FY22-26 Strategic Plan

Nov. 23, 2022 —The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse workforce to serve America’s investors and capital-raising entrepreneurs alike. “Our capital […]