The Securities and Exchange Commission today charged 21 individuals for their alleged involvement in a decade-long insider trading scheme that used information misappropriated from multiple global law firms and resulted in millions of dollars in illicit…
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 7
SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance Supporting Retirement Plans for Small Businesses
Staff in the Securities and Exchange Commission’s Divisions of Investment Management and Corporation Finance issued guidance addressing certain questions regarding the application of the federal securities laws to pooled employer plans (PEPs), which help…
Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC
The Securities and Exchange Commission today announced that Jason Burt, Deputy Director of the Division of Enforcement (Specialized Units), will depart the agency on May 1, 2026, after more than 22 years of public service.“Jason’s exceptional leadership…
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly proposed amendments to reduce private fund reporting burdens while enabling the continued collection of necessary and appropriate information. The…
Chairman Atkins Launches ‘Material Matters’ Podcast
The Securities and Exchange Commission today announced the launch of Material Matters With SEC Chairman Paul Atkins, a new podcast that provides stakeholders and the investing public with exclusive interviews and insights around the agency’s policy and…
SEC Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting on Tuesday, April 28, 2026 at 10:00 a.m. to explore ways to encourage more companies to go public.The meeting will be open……
SEC Seeks Public Comment on the Consolidated Audit Trail and Other Audit Trails and Data Sources
The Securities and Exchange Commission today issued a concept release soliciting public comment in support of a comprehensive review of the Consolidated Audit Trail (CAT) and other audit trails and related data sources currently used in the regulation of…
More…
SEC Approves Exemptive Order and Proposed Rule Change to Permit Customer Cross-Margining in the U.S. Treasury Market
The Securities and Exchange Commission today issued a conditional exemptive order that permits customer cross-margining of cash market positions in U.S. Treasury securities cleared by a registered clearing agency and futures positions in U.S. Treasury…
SEC Appoints David Woodcock as Director of the Division of Enforcement
The Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective May 4, 2026. Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn…
More…
SEC Announces Agenda and Panelists for Roundtable on Options Market Structure
The Securities and Exchange Commission today announced the agenda and panelists for its April 16, 2026, roundtable on options market structure.The roundtable will be held at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C., from 9:00 a.m.…
More…