Tag: News

securities whistleblower
News Whistleblower

SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities

The SEC announced an award of more than $300,000 to a whistleblower whose high-quality information and continuing assistance significantly contributed to a successful enforcement action.  According to the press release, the whistleblower became aware of the potential securities law violations in connection with audit-related responsibilities. Although individuals with audit or […]

News

SEC Staff Supplements Quarterly Private Funds Statistics

The Securities and Exchange Commission staff today published an expanded suite of data and analyses of private fund statistics and trends. The Private Funds Statistics, released quarterly since October 2015 by the Division of Investment Management’s… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]

News

SEC Adopts Rules to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Equity Market Data

The Securities and Exchange Commission today adopted rules to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system stocks (“NMS market data”).  This… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

News

Stebbins to End Role as General Counsel

The Securities and Exchange Commission today announced that Robert B. Stebbins will conclude his tenure as General Counsel in early January, after serving over three and a half years as the agency’s chief legal officer. During his tenure, Mr. Stebbins… Read the Full Press Release Have a securities law question? […]