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The Securities and Exchange Commission today voted to propose rule changes to reduce risks in the clearance and settlement of securities, including by shortening the standard settlement cycle for most broker-dealer transactions in securities from two… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys It is always good to know what regulators are going to focus on, and to prepare for that exam. The Securities and Exchange Commission today announced that James E. Grimes has been named the agency’s Chief Administrative Law Judge. Judge Grimes will lead the SEC’s impartial Office of Administrative Law Judges that conducts hearings, issues initial… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments are designed to enhance the Financial Stability… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. The… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today reopened the comment period on proposed rules under the Dodd-Frank Act requiring disclosure of information reflecting the relationship between executive compensation actually paid by a company and the company’… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today issued its annual Staff Report on Nationally Recognized Statistical Rating Organizations (NRSROs), providing a summary of the SEC staff’s examinations of NRSROs and discussing the state of competition,… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age.… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced that Lori H. Price will serve as Acting Director of the Office of Credit Ratings (OCR). Ms. Price replaces Ahmed A. Abonamah, who is leaving the agency at the beginning of February to serve as Chief… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys The Securities and Exchange Commission today announced that LizAnn Eisen has been named Deputy Director, Disclosure Program, for the Division of Corporation Finance. In this role, she will ensure the effectiveness of the division’s review of company… Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Visit The Securities Law Home Page – news and tips from securities regulators and top securities attorneys
Category Archives: SEC Enforcement
SEC Issues Proposal to Reduce Risks in Clearance and Settlement
FINRA 2022 Exam Priorities
Today FINRA released its 2022 Report on Examination and Risk Monitoring Program (the Report). While not a road map it provides firms with information that may help inform their compliance programs.
We will post our analysis and tips in the next few days, but FINRA is giving you their signals.
PAY ATTENTION, you don’t need to be a Houston Astro and steal signals!
Sallah Astarita & Cox, broker dealer counsel and former SEC attorneys, have been doing this for DECADES. Call and let’s make you are setup for the 2022 examinations.
The report identifies the relevant rule(s), highlights key considerations for member firms’ compliance programs, summarizes noteworthy findings from recent examinations, outlines effective practices that FINRA observed during its oversight, and provides additional resources that may be helpful to member firms in reviewing their supervisory procedures and controls and fulfilling their compliance obligations.
Call Sallah Astarita & Cox at 212.509.6544 to find out how they can work with your compliance department to get through the next sweep.
James E. Grimes Named Chief Administrative Law Judge at SEC
SEC Proposes Amendments to Enhance Private Fund Reporting
SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
SEC Reopens Comment Period for Pay Versus Performance
SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizations
SEC Files Fraud Charges Alleging a Multi-Million Dollar Scheme that Targeted Retirement Accounts
Lori H. Price Named Acting Director of the Office of Credit Ratings; Ahmed Abonamah to Leave SEC
LizAnn Eisen Joins Division of Corporation Finance as Deputy Director, Disclosure Program