The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. “It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee… Read the Full Press Release Have a securities law question? […]

The S&P and Nasdaq hit new records on the back of strong earnings from the likes of Netflix and Morgan Stanley, and further optimism from Joe Biden’s inauguration. With all of this news, the deep learning algorithms at Q.ai have crunched the data to give you a set of Top […]

The Securities and Exchange Commission today announced that Kimberly Hamm, Chief Counsel to the Chairman, will conclude her tenure at the agency in the coming weeks. Ms. Hamm joined the SEC in April 2019 and was named Chief Counsel to Chairman Jay… Read the Full Press Release Have a securities […]

In the first order, the SEC awarded three whistleblowers almost $500,000 in connection with two related enforcement actions. The first whistleblower provided information that prompted the opening of an investigation. The second and third whistleblowers provided information that significantly contributed to the success of the actions, and contributed additional, helpful […]

Here are a pair of short recommendations for this coming holiday-shortened week. * This article was originally published at The Securities Law B

JPMorgan Posts Record $12.1 Billion Profit–Shattering Expectations Despite Pandemic Highs The nation’s largest bank nabbed $29.2 billion in revenue last quarter. https://www.forbes.com/sites/jonathanponciano/2021/01/15/jpmorgan-americas-largest-bank-earnings-121-billion/ * This article was originally published at The Securities Law B

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 […]

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 & […]

Just $200 million separates Jeff Bezos and Musk’s respective fortunes. * This article was originally published at The Securities Law B

The Securities and Exchange Commission today announced that Marc P. Berger, Acting Director of the Division of Enforcement, will conclude his tenure at the agency this month. Mr. Berger joined the Commission as Director of the New York Regional Office in… Read the Full Press Release Have a securities law […]