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 […]

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 […]

The Securities and Exchange Commission today announced an award of over $10 million to a whistleblower whose information prompted the opening of an investigation and provided substantial, ongoing assistance to SEC staff throughout the investigation.… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]

The Securities and Exchange Commission today voted to enhance the regulatory framework for derivatives use by registered investment companies, including mutual funds (other than money market funds), exchange-traded funds (ETFs) and closed-end funds, as… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at […]

The Securities and Exchange Commission today announced that William H. Hinman, Director of the SEC’s Division of Corporation Finance, plans to leave the SEC later this year. Since joining the SEC in May 2017, Mr. Hinman led the Division’s work on a wide… Read the Full Press Release Have a […]

The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000 retail investors without registration and for failing to transact its swaps on a registered… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]

The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to the successful enforcement of SEC and related actions.  The $114 million award consists of an… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]

The Securities and Exchange Commission today announced charges against The Goldman Sachs Group Inc. for violations of the Foreign Corrupt Practices Act (FCPA) in connection with the 1Malaysia Development Berhad (1MDB) bribe scheme, and as part of… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]

The Securities and Exchange Commission and the Commodity Futures Trading Commission, at their first joint open meeting to vote on rulemaking initiatives, today approved: (1) a joint final rule to harmonize the minimum margin level for security futures… Read the Full Press Release Have a securities law question? Call Sallah […]

The Securities and Exchange Commission today announced it will host a virtual forum next week featuring women entrepreneurs and investors of color from Los Angeles and Atlanta discussing their business experiences and… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. from SECLaw.com