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Fee Rate Advisory #2 for Fiscal Year 2021

The Securities and Exchange Commission today announced that starting on February 25, 2021, the fee rates applicable to most securities transactions will be set at $5.10 per million dollars.  Consequently, each SRO will continue to pay the… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]

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SEC Awards Nearly $600,000 to Whistleblower

The Securities and Exchange Commission today announced an award of nearly $600,000 to a whistleblower whose tip led to the success of an enforcement action.  The whistleblower substantially contributed to an open investigation by providing detailed… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]

Form 10Q

Form 10-Q is used for quarterly reports under Section 13 or Section 15(d) of the Securities Exchange Act of 1934 A quarterly report on this form must be filed within the following period after the end of each of the first three fiscal quarters of each fiscal year. Form 10Q […]

OTC Market

Over the Counter Markets An over-the-counter (OTC) market is a signifies a platform where market participants trade stocks, commodities, currencies, or other instruments directly between themselves without and exchange or broker. In the securities arena, the OTC Markets Group provides price and liquidity information for almost 10,000 over-the-counter (OTC) securities. The group has its […]

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The Retirement-Ready 6.4% Dividend Your Friends Have No Clue About

The Retirement-Ready 6.4% Dividend Your Friends Have No Clue About Let’s look at how CEF investors can grab a healthy 6%+ dividend in this zero-rate world and dodge every retiree’s nightmare. https://www.forbes.com/sites/michaelfoster/2021/01/09/the-retirement-ready-64-dividend-your-friends-have-no-clue-about/ * This article was originally published at The Securities Law B