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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 […]

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SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies

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 […]

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SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions

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 & […]

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At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining

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 […]