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Agencies Will Consider Comments on Volcker Rule Modifications Following Expiration of Comment Period
2 Apr 2020, 8:55 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts
1 Apr 2020, 9:25 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Small Business Advocate to Host Virtual Coffee Breaks Discussing Small Business Capital Raising
31 Mar 2020, 2:25 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Ad Hoc Meeting of Small Business Capital Formation Advisory Committee in Response to COVID-19 Challenges Faced By Small Businesses
31 Mar 2020, 12:03 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards $450,000 to Whistleblower
30 Mar 2020, 9:03 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Provides Additional Temporary Regulatory Relief and Assistance to Market Participants Affected by COVID-19
26 Mar 2020, 5:36 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
FINRA Office of Hearing Officers Postpones All Hearings, Except Expedited
26 Mar 2020, 12:09 pm by Astarita
Parties with questions about these or any other aspects of pending cases should contact the appropriate Case Administrator.If you need help with an arbitration, or simply have a question, call Mark Astarita at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
FINRA Expands Arbitration Hearing Postponements
26 Mar 2020, 12:07 pm by Astarita
All case deadlines will continue to apply and must be timely met unless the parties jointly agree otherwise.If you need help with an arbitration, or simply have a question, call Mark Astarita at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds, and Investment Advisers Affected By Coronavirus Disease 2019 (COVID-19)
25 Mar 2020, 6:12 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Unregistered Penny Stock Dealer
24 Mar 2020, 1:42 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $570,000 to Two Whistleblowers
24 Mar 2020, 10:42 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Provides Temporary Additional Flexibility to Registered Investment Companies Affected by Coronavirus
23 Mar 2020, 6:42 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $1.6 Million to Whistleblower
23 Mar 2020, 9:12 am by Astarita
For more information about the whistleblower program and for assistance from experienced SEC and whistleblower attorneys, call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Provides Conditional Regulatory Relief for Registered Transfer Agents and Certain Other Persons Affected by the Coronavirus Disease 2019 (COVID-19)
22 Mar 2020, 12:11 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate NYSE Electronic Auctions in Light of Temporary Closure of Physical Trading Floor
21 Mar 2020, 3:11 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Chronos Group Investigation
21 Mar 2020, 7:14 am by Astarita
If you bought Cronos stock during this period contact Sallah Astarita & Cox, to learn about your rights and ways you might recover your losses. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Emergency Action Stops Digital Asset Scam
20 Mar 2020, 12:41 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Jury Finds Investment Adviser and its Owner Liable for Fraud
16 Mar 2020, 1:53 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
14 Mar 2020, 5:38 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Takes Targeted Action to Assist Funds and Advisers, Permits Virtual Meetings and Provides Conditional Relief from Certain Filing Procedures
13 Mar 2020, 4:38 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/