tag:blogger.com,1999:blog-8031502026-04-08T12:25:27.984-04:00The Securities Law Blog has been providing investors, advisors and attorneys with news and expert commentary from top securities attorneys and regulators since 1995. Updated daily.Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comBlogger3922125tag:blogger.com,1999:blog-803150.post-77474039726879467142026-04-08T12:25:27.984-04:002026-04-08T12:25:27.984-04:00The 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…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-35-sec-appoints-david-woodcock-director-division-enforcement">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-39069114511597026682026-04-07T16:30:23.911-04:002026-04-07T16:30:23.911-04:00The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025.Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-34">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-50050396979856601222026-04-02T18:10:28.544-04:002026-04-02T18:10:28.544-04:00The 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.…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-33-sec-announces-agenda-panelists-roundtable-options-market-structure">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-73733654145925614442026-03-31T11:15:26.053-04:002026-03-31T11:15:26.053-04:00The Securities and Exchange Commission’s Office of Investor Education and Assistance (OIEA) today announced that as part of April’s National Financial Literacy Month it will highlight financial planning tools and resources on&nbsp;Investor.gov to…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-32-sec-highlights-financial-independence-during-financial-literacy-month">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-36451794071357983432026-03-27T17:40:24.456-04:002026-03-27T17:40:24.456-04:00The Securities and Exchange Commission today approved an amendment to the National Market System Plan governing the Consolidated Audit Trail (“CAT”) and provided exemptive relief from certain requirements of Rule 17a-1 under the Securities Exchange Act…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-31-sec-approves-amendment-nms-plan-further-reduce-costs-consolidated-audit-trail">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-54171054883220664912026-03-17T15:45:40.584-04:002026-03-17T15:45:40.584-04:00The Securities and Exchange Commission (SEC) today issued an interpretation clarifying how the federal securities laws apply to certain crypto assets and transactions involving crypto assets. This is a major step in the Commission’s efforts to provide…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-30-sec-clarifies-application-federal-securities-laws-crypto-assets">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-76613533764458087092026-03-17T15:15:45.518-04:002026-03-17T15:15:45.518-04:00The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published a new report on security based swap dealers (SBSDs) and updated statistics and data visualizations on initial public offerings (IPOs), follow-on registered…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-29-sec-publishes-data-public-private-offerings-municipal-advisors-transfer-agents-securities-based-swap">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-50624446651213072702026-03-16T15:31:14.029-04:002026-03-16T15:31:14.029-04:00The Securities and Exchange Commission today proposed amendments to Exchange Act Rule 15c2-11, which sets out certain information gathering and review requirements for broker-dealers that publish quotations for, or maintain a continuous quoted market in…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-28-sec-proposes-amendments-exchange-act-rule-15c2-11">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-14094349411721289802026-03-16T14:25:42.815-04:002026-03-16T14:25:42.815-04:00The Securities and Exchange Commission today announced that Judge Margaret A. Ryan has resigned from her role as Director of the Division of Enforcement. Principal Deputy Director Sam Waldon has been named Acting Director of the Division, effective March…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2027-27-sec-announces-enforcement-division-director-judge-margaret-ryan-has-resigned-agency">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-56488648774382636972026-03-11T16:35:50.506-04:002026-03-11T16:35:50.506-04:00The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection.<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-26-sec-cftc-announce-historic-memorandum-understanding-between-agencies">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-74651434970659755822026-03-05T11:00:59.093-05:002026-03-05T11:00:59.093-05:00The Securities and Exchange Commission’s&nbsp;Investor Advisory Committee will hold a public meeting at the SEC Headquarters in Washington D.C. on March 12 at 10 a.m. ET to discuss public company disclosure reform, fund proxy voting, and a potential…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-25-sec-investor-advisory-committee-host-march-12-meeting">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-39463464456087539702026-03-05T10:10:49.862-05:002026-03-05T10:10:49.862-05:00The Securities and Exchange Commission announced today that it will host a roundtable on April 16, 2026, to discuss listed options market structure, including facilitating competition in a quote driven market, evaluating the customer experience, and…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-24-sec-announces-roundtable-options-market-structure-reform">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-22597214725537649862026-02-27T12:15:59.484-05:002026-02-27T12:15:59.484-05:00The Securities and Exchange Commission today adopted final rule and form amendments to reflect the requirements of the recently enacted Holding Foreign Insiders Accountable Act (HFIA), which will increase transparency into the holdings and transactions…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-23-sec-adopts-final-rules-holding-foreign-insiders-accountable-act">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-28700845633571749272026-02-27T10:00:41.666-05:002026-02-27T10:00:41.666-05:00The U.S. Securities and Exchange Commission (SEC) and the Financial Services Agency of Japan (FSA) convened the Spring SEC-FSA Financial Regulatory Dialogue in Tokyo on Feb. 27, 2026.The SEC–FSA Dialogue builds upon longstanding efforts between the two…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-22-sec-fsa-hold-spring-financial-regulatory-dialogue">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-33487334573351912422026-02-26T09:40:47.058-05:002026-02-26T09:40:47.058-05:00The Securities and Exchange Commission today announced it will hold a roundtable on March 4 to discuss private market valuations and responsible retailization.The roundtable will be hosted by the Division of Investment Management from 1 p.m. to 3 p.m. ET…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-21-sec-announces-roundtable-private-markets-valuation-retail-investor-access-accelerates">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-29678414642530698492026-02-24T09:01:31.904-05:002026-02-24T09:01:31.904-05:00The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. These updates underscore the Commission’s ongoing commitment to fairness, transparency, and efficiency in the investigations…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-20-secs-division-enforcement-announces-updates-enforcement-manual">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-30454682774010370882026-02-18T14:05:43.164-05:002026-02-18T14:05:43.164-05:00The Securities and Exchange Commission today proposed amendments to the form used by most registered investment companies to report portfolio-related information. The changes are designed to reduce reporting burdens without significantly affecting the…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-19-sec-proposes-amendments-reduce-burdens-reporting-fund-portfolio-holdings">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-73530509850143147332026-02-13T11:20:43.902-05:002026-02-13T11:20:43.902-05:00The Securities and Exchange Commission will host the agency’s 45th Annual Government Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C., on March 9 from 1 p.m. to 5 p.m. ET. The event will be webcast live.&nbsp;…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-18-sec-announces-45th-annual-small-business-forum-improve-capital-raising-policy">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-19656083192610174502026-02-05T13:55:34.421-05:002026-02-05T13:55:34.421-05:00The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published two new reports on exchange traded funds and fund mergers, and updated statistics and data visualizations on municipal advisors, transfer agents, and…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-17-sec-publishes-data-exchange-traded-funds-fund-mergers-updated-statistics-municipal-advisors-transfer">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-49801094296274632662026-01-30T16:01:08.890-05:002026-01-30T16:01:08.890-05:00The Securities and Exchange Commission today announced the appointment of Demetrios (Jim) Logothetis, as Chairman, and Mark Calabria, Kyle Hauptman, and Steven Laughton, as Board members, of the Public Company Accounting Oversight Board (PCAOB). George…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-16-sec-appoints-new-chairman-board-members-pcaob">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-9933819189116584702026-01-27T18:10:50.097-05:002026-01-27T18:10:50.097-05:00The Securities and Exchange Commission today filed settled charges against Archer-Daniels-Midland Company (ADM) and its former executives, Vince Macciocchi and Ray Young, and a litigated action against its former executive Vikram Luthar, for&nbsp;…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-15-sec-charges-adm-three-former-executives-accounting-disclosure-fraud">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-15488031725349485232026-01-26T10:40:46.734-05:002026-01-26T10:40:46.734-05:00Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event, previously scheduled for Jan. 27, now rescheduled for Thursday, Jan. 29, from 2 p.m. to 3 p.m. at CFTC…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-14-sec-cftc-reschedule-joint-event-harmonization-us-financial-leadership-crypto-era">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-62345194487696515952026-01-22T16:35:41.774-05:002026-01-22T16:35:41.774-05:00Securities and Exchange Commission Chairman Paul S. Atkins and Commodity Futures Trading Commission Chairman Michael S. Selig will hold a joint event on Tuesday, Jan. 27, from 10 a.m. to 11 a.m. at CFTC headquarters to discuss harmonization between the…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-13">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-82390940518921293662026-01-22T14:25:34.431-05:002026-01-22T14:25:34.431-05:00The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a public meeting at the SEC Headquarters in Washington, D.C., on Tuesday, Feb. 24, 2026, at 10 a.m. ET. The meeting will also be…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-12-sec-small-business-advisory-committee-continue-discussion-regulatory-framework-finders-begin">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.comtag:blogger.com,1999:blog-803150.post-48240822209047770562026-01-22T12:00:40.408-05:002026-01-22T12:00:40.408-05:00The Securities and Exchange Commission today approved the 2026 budget for the Public Company Accounting Oversight Board (PCAOB) and the related accounting support fee.The 2026 PCAOB budget totals $362.1 million. The 2026 budget reflects a 9.4% ($37.6…<br /> <br /> <a href="www.seclaw.com">More information at SECLaw.com</a> <a href="https://www.sec.gov/newsroom/press-releases/2026-11-sec-approves-2026-pcaob-budget-accounting-support-fee">Read the Full Press Release</a> <hr /> <p><br /> Have a securities law question? Call <a href="http://www.securitieslawyer.us">New York Securities Lawyers</a> at 212-509-6544.</p> Mark Astaritahttp://www.blogger.com/profile/02948946256912309626noreply@blogger.com