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16 Oct 2020, 10:10 am by Astarita
  Informed by decades of staff experience applying the auditor independence framework…Read the Full Press ReleaseHave a securities law question? [read post]
16 Oct 2020, 7:10 am by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the October 26, 2020, roundtable where Commission staff and FINRA will discuss initial observations on Regulation Best Interest and Form CRS implementation. [read post]
15 Oct 2020, 8:09 am by Astarita
The Securities and Exchange Commission today announced an award of more than $800,000 to a whistleblower whose information caused the staff to open an investigation that led to two successful SEC enforcement actions. [read post]
5 Oct 2020, 9:09 am by Astarita
As World Investor Week (WIW) 2020 kicks off, the Securities and Exchange Commission today announced that staff will engage with Main Street investors to emphasize the importance of two particularly relevant investing topics−planning for life’s unexpected…Read the Full Press ReleaseHave a securities law question? [read post]
30 Sep 2020, 9:09 am by Astarita
  The first whistleblower, who was the first to alert SEC staff of potential…Read the Full Press ReleaseHave a securities law question? [read post]
28 Sep 2020, 1:09 pm by Astarita
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
5 Aug 2020, 10:09 am by Astarita
The Securities and Exchange Commission today published procedures setting forth a staff-led process to nominate candidates for appointment to the Investor Advisory Committee. [read post]
1 Jul 2020, 4:09 pm by Astarita
The Securities and Exchange Commission today announced the agenda and panelists for the July 9, 2020 staff roundtable on investing in emerging markets, including China. [read post]
16 Jun 2020, 6:10 am by Astarita
Former acting White House Chief of Staff Mick Mulvaney sold up to $550,000 in securities as the coronavirus was hitting the U.S. and President Trump was providing upbeat statements about the strength of the U.S. economy.Mulvaney’s trades, disclosed in a filing as he left the White House, comes as Sen. [read post]
11 Jun 2020, 1:14 pm by Astarita
The firm's partners are former broker-dealer and SEC Staff attorneys. [read post]
29 May 2020, 5:25 am by Astarita
The SEC is investigating public companies who took PPP loans to ensure that their PPP applications are consistent with their public filings.Bloomberg News is reporting that the SEC has Th sent letters to some recipients of the forgivable loans seeking information about how the funds were spent and copies of loan applicationsThe news service reported that nearly 200 public companies received PPP funds at that level, but the SEC’s inquiry encompasses fewer than a dozen of those… [read post]
19 May 2020, 5:54 am by Astarita
The Securities and Exchange Commission today announced July 9 as the date for its staff roundtable to hear the views of investors, other market participants, regulators, and industry experts on the risks of investing in emerging markets, including…Read the Full Press ReleaseHave a securities law question? [read post]
11 May 2020, 3:26 pm by Astarita
Chairman Clayton's executive staff is responsible for advising the…Read the Full Press ReleaseHave a securities law question? [read post]
26 Mar 2020, 12:07 pm by Astarita
If you have an in-person hearing or mediation session that is postponed as a result of this decision, you will be contacted by FINRA staff to reschedule or discuss remote scheduling options.Please note that this decision does not affect other case deadlines. [read post]
21 Mar 2020, 7:14 am by Astarita
 ---------Sallah Astarita & Cox, LLC is a national securities law firm whose partners are former SEC Staff Attorneys and Broker-Dealer attorneys, representing investors and financial professionals nationwide. [read post]
16 Mar 2020, 11:33 am by Astarita
If you have an in-person hearing or mediation session that is postponed as a result of this decision, you will be contacted by FINRA staff to reschedule or discuss remote scheduling options.Please note that this decision does not affect other case deadlines. [read post]
13 Mar 2020, 2:38 pm by Astarita
The Securities and Exchange Commission today announced that the SEC staff has published guidance to assist public companies, investment companies, shareholders, and other market participants affected by COVID-19 with their upcoming annual shareholder…Read the Full Press ReleaseHave a securities law question? [read post]
27 Feb 2020, 2:09 pm by Astarita
Gibson joined the SEC in 2008 as a staff attorney in the Division of Enforcement in the Philadelphia office. [read post]
24 Jan 2020, 12:20 pm by Astarita
Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). [read post]