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SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
24 Nov 2020, 8:51 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
OCIE Risk Alert - Update Your Policies and Procedures!
23 Nov 2020, 2:33 pm by Astarita
Advisers that failed to review significant areas of their business, such as policies and procedures surrounding the oversight and review of recommended third-party managers, cybersecurity, and the calculation of fees and allocation of expenses.The full list of examples of deficiencies that OCIE will be looking for in their examinations are contained in the Risk Alert - OCIE Observations: Investment Adviser Compliance ProgramsMark Astarita represents financial advisers across the country. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis
13 Nov 2020, 10:10 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Investment Advisory Firms and Broker-Dealers in Connection with Sales of Complex Exchange-Traded Products
13 Nov 2020, 8:10 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
13 Nov 2020, 6:11 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Mike Willis Named Associate Director in Division of Economic and Risk Analysis
12 Nov 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Publishes Notice of German Substituted Compliance Application and Proposed Order
9 Nov 2020, 2:10 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
5 Nov 2020, 8:12 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Firm Fined For Lax Text Message Storage
5 Nov 2020, 4:19 am by Astarita
---https://www.napa-net.org/news-info/daily-news/sec-targets-broker-dealer-text-messaging-mix ---Mark Astarita has 30 years of experience representing investors, brokers and issuers in their securities regulatory and litigation matters, including SEC and FINRA proceedings, arbitrations, and due diligence in connection with public and private offerings and investments. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Small Account Policies Hurt Advisers, Force Transitions
5 Nov 2020, 4:08 am by Astarita
-------------https://advisorhub.com/wells-brokers-with-405-million-leave-for-stifel-cite-small-account-policies/ -----------The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces New Asset Management Advisory Committee Member
4 Nov 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
3 Nov 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $28 Million to Whistleblower
3 Nov 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
2 Nov 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework
2 Nov 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Agenda for Nov. 5 Special Meeting of the Asset Management Advisory Committee
29 Oct 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $10 Million to Whistleblower
29 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Raquel Fox, Director of the Office of International Affairs, to Depart SEC
29 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
28 Oct 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Division of Corporation Finance Director Bill Hinman Announces Intention to Conclude His Tenure Later This Year
27 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/