The Law of the Financial Markets from Top Securities Lawyers
Sunday, November 28, 2021
Types of Securities Lawyers While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are transactional securities lawyers, who help companies raise capital, obtain and maintain listings on a stock exchanges, assist in mergers and acquisitions and perform the […]
The Securities and Exchange Commission today announced that Texas-based oilfield services company ProPetro Holding Corp. and its founder and former CEO Dale Redman have agreed to settle charges that they failed to properly disclose some of Redman’s… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who provided information and assistance in three separate covered actions. In the first order, the SEC issued awards totaling approximately $7.5 million to two whistleblowers. Both whistleblowers provided new and significant information during an existing […]
The Securities and Exchange Commission today announced that an affiliate of McKinsey & Company that offers investment options exclusively to current and former McKinsey partners and employees has agreed to pay an $18 million penalty for compliance… * This article was originally published here____ For More information on the United […]
The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or “stand-alone” actions involved at least one… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as… * This article was originally published here____ For More information on the United States Securities […]
The Securities and Exchange Commission today announced the appointment of Haoxiang Zhu, a professor of finance at the Massachusetts Institute of Technology, as Director of the agency’s Division of Trading and Markets, effective Dec. 10, 2021. David… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]
The Securities and Exchange Commission today published proposed Exchange Act Rule 10c-1, which would require lenders of securities to provide the material terms of securities lending transactions to a registered national securities association, such as… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
The Securities and Exchange Commission today published proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to broker-dealers, security-based swap dealers (SBSDs), and major security-based swap… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. Originally posted at […]
The Securities and Exchange Commission today announced that it charged Ryan Ginster of Corona, California with conducting two unregistered and fraudulent securities offerings that raised over $3.6 million in cryptocurrency from retail investors. The SEC… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
