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  • MIAX Exchange: Electronic Filing Of Annual Reports

    Date 18/12/2020

    MIAX Exchange Members are reminded that, in connection with the Regulatory Services Agreement between the Exchange and FINRA, the filing of annual reports has been transitioned to the electronic filing platform available via FINRA’s Firm Gateway.

  • SEC Charges Biotech Company And CEO With Fraud Concerning COVID-19 Blood Testing Device

    Date 18/12/2020

    The Securities and Exchange Commission today 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 developed a working, break-through technology that could accurately detect Covid-19 through a quick blood test. The SEC temporarily suspended trading in Decision Diagnostics' securities on April 23, 2020.

  • Bermuda Stock Exchange Market Operations Suspended

    Date 18/12/2020

    Due to an island-wide power outages today, the Bermuda Stock Exchange has  “suspended market operations until further notice.”

  • SEC Releases 2020 Office Of Credit Rating Reports

    Date 18/12/2020

    The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization. The annual report discusses, among other topics, the state of competition, transparency, and conflicts of interest among the firms. The exam report provides a comprehensive overview of the Office of Credit Rating (OCR)’s examinations of the NRSROs, including, among other things, the staff’s essential findings and recommendations.

  • EU-UK Relations: European Parliament Adopts Temporary Contingency Measures

    Date 18/12/2020

    On Friday, Parliament adopted measures to ensure basic road and air connections in case no agreement is reached on EU-UK future relations.