The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade…
The Securities Law Blog
The Securities Law Blog, published by Sallah Astarita, covers topics related to securities regulation and enforcement, including SEC and FINRA investigations, regulatory proceedings, and enforcement actions. It addresses issues such as insider trading, market manipulation, unregistered offerings, and securities fraud. The blog also discusses white-collar criminal defense matters, including grand jury investigations and federal criminal trials. Additionally, it covers securities arbitration and litigation involving broker-dealers, registered representatives, and investment advisors. The blog reflects the expertise of a boutique law firm with experience in complex commercial litigation, compliance defense, and internal investigations across federal, state, and administrative courts.
Latest from The Securities Law Blog - Page 2
SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission’s statutory authority and intrudes into matters of state law.The Commission outlined…
SEC Grants Exemptive Relief from Certain Inline XBRL Filing or Submission Requirements
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in…
President’s Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000
The President’s Council onYear 2000 Conversion, the Securities and Exchange Commission(SEC), the National Association of Securities Dealers(NASD), the New York Stock Exchange (NYSE), the InvestmentCompany Institute (ICI), and the Securities…
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SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200…
SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…
More information at SECLaw.com
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SEC Investor Advisory Committee to Host Sept. 10 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…
SEC Announces Agenda and Panelists for Roundtable on Preparations for 24-Hour Trading
The Securities and Exchange Commission today announced the agenda and panelists for its Sept. 17, 2026, roundtable on preparations for 24-hour trading.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 10…
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SEC Charges San Francisco Bay Area Private Fund Executives with Multimillion Dollar Ponzi-Like Scheme
The Securities and Exchange Commission today charged Mark D. Hanf, the former CEO of Novato, California-based Pacific Private Money Group LLC (PPMG), and Hoai-Nam Chu Phan, the former COO of a PPMG subsidiary, with orchestrating an offering fraud that…
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SEC Proposes to Modernize Rules for Registered Transfer Agents
The Securities and Exchange Commission today proposed to update the rules and forms that apply to registered transfer agents.Transfer agents are a key component of the national clearance and settlement system. Transfer agents now perform a more diverse…