Tag: News

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Brokers News

New York Guidance on State Securities Filing Rules

New York has released additional guidance on recent rule amendments prepared by the Investor Protection Bureau (IPB) and adopted in 2020. Through these new rules, the Office of the Attorney General (OAG) has increased transparency for the public into the investment adviser representatives and securities issuers operating in New York state. […]

News

Biotech Company and CEO Charged With COVID-19 Testing Fraud

photo credit: Tim Reckmann Corona Impfung via photopin (license) The SEC announced charges against California-based biotechnology company Decision Diagnostics Corp. and its CEO, Keith Berman, with making false and misleading claims in numerous press releases that the company had laims in numerous press releases that the company had developed a […]

News

SEC Creates Swaps Joint Venture

The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions and offices that will be responsible for coordinating functions related to the regulation… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]

News

SEC Approves 2021 PCAOB Budget and Accounting Support Fee

The Securities and Exchange Commission voted today to approve the 2021 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. The 2021 PCAOB budget totals $287.3 million, an increase of… Read the Full Press Release Have a securities law question? Call Sallah Astarita […]