SEC Investor Advisory Committee to Meet on Nov. 7

The Securities and Exchange Commission’s Investor Advisory Committee will hold a public meeting on Nov. 7. The meeting will begin at 9:30 a.m. Eastern Time in the Multipurpose Room at SEC headquarters at 100 F Street, N.E., Washington, D.C. and…

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from The Securities Law Home Page – SECLaw.com

SEC Proposes Amendments to Exemptive Applications Procedures

The Securities and Exchange Commission today announced that it has voted to propose rule amendments to establish an expedited review procedure for applications under the Investment Company Act that are substantially identical to recent precedent, as well…

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Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

from The Securities Law Home Page – SECLaw.com

Ameriprise Hiring Binge

Ameriprise’s recruiting streak continues, with the onboarding of nine new advisers.

The firm’s hiring efforts have boosted headcount to 9,951 advisers for the second quarter from 9,906 from the year-ago period, according to the firm’s last earnings report.

More information at On Wall Street


The attorneys at Sallah Astarita & Cox, LLC have been representing brokers in transition for decades. To find out if they can help you, give them a call at 212-509-6544

from The Securities Law Home Page – SECLaw.com

SEC and Morehouse College Announce Atlanta Event for Minority Entrepreneurs

The Securities and Exchange Commission and Morehouse College will co-host a panel discussion on strategies to attract investment capital to minority businesses from 4 – 7 p.m. ET on Thursday, Oct. 24 during homecoming week. The special event,…

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Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

from The Securities Law Home Page – SECLaw.com

SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities

The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade…

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from The Securities Law Home Page – SECLaw.com

SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme

The Securities and Exchange Commission has filed an emergency action and obtained an asset freeze against 18 traders in a scheme to manipulate more than 3,000 U.S.-listed securities for over $31 million in illicit profits. The SEC alleges that the…

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Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

from The Securities Law Home Page – SECLaw.com

SEC Promotes Teacher Investment Outreach

The Securities and Exchange Commission today announced several teacher investment outreach efforts in connection with its Teachers Initiative.  These initiatives include the launch of a podcast series for public school educators, nationwide…

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Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

from The Securities Law Home Page – SECLaw.com

Supervisor Charged for Role in Brokerage Firm’s Improper Handling of ADRs

The Securities and Exchange Commission today announced that Domenick Migliorato, a former supervisor of the securities lending desk at Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), has agreed to settle charges for his…

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from The Securities Law Home Page – SECLaw.com

Robert Burson, Associate Regional Director of Chicago Office, to Retire From the SEC After 29 Years of Service

The Securities and Exchange Commission today announced that Robert Burson, an Associate Regional Director of Enforcement in the Chicago Regional Office, is retiring after 29 years at the agency, all in the Chicago office. Mr. Burson, who is…

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from The Securities Law Home Page – SECLaw.com

SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering

The Securities and Exchange Commission today announced that it has filed an emergency action and obtained temporary restraining order against two offshore entities conducting an alleged unregistered, ongoing digital token offering in the U.S. and…


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Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.

from The Securities Law Home Page – SECLaw.com