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SEC Proposes Rule to Provide Transparency in the Securities Lending Market
18 Nov 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act
5 Nov 2021, 11:55 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Nicole Creola Kelly Named Chief of SEC Whistleblower Office
5 Nov 2021, 11:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Oilfield Services Company and Former CEO With Failing to Disclose Executive Perks and Stock Pledges
22 Nov 2021, 1:05 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Oppenheimer Looking for Miami Advisors
12 Apr 2023, 2:17 pm by Mark Astarita
We’re in growth mode’: Oppenheimer on the hunt for int’l advisors in MiamiThe firm is looking to grow its share of the international wealth management space after having recently opened a new office in Miami to house its advisorMark Astarita has been representing advisors who are changing firms and firms who are hiring thos advisors for decades. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Investor Advisory Committee to Meet Remotely on Dec. 2
24 Nov 2021, 7:20 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
18 Oct 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
17 Nov 2021, 9:25 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Post-SPAC Music Steaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action
27 Oct 2021, 1:20 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Promoter with Conducting Cryptocurrency Investment Scams
18 Nov 2021, 11:45 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Updates Electronic Filing Requirements
4 Nov 2021, 11:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies
29 Oct 2021, 5:30 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Updates to Electronic Recordkeeping Requirements
18 Nov 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Former Public Affairs Director John Nester to Retire from SEC
28 Oct 2021, 12:10 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information
19 Nov 2021, 7:45 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud
4 Nov 2021, 6:50 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
22 Nov 2021, 9:00 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
19 Nov 2021, 10:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
10 Nov 2021, 10:15 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
26 Oct 2021, 1:00 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/