A China-based issuer settled SEC charges for violating the antifraud provisions of the Securities Exchange Act and certain reporting, recordkeeping and internal control requirements.
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The SEC and the DOJ Antitrust Division signed an interagency Memorandum of Understanding to promote greater competition within the securities industry.
The SEC Division of Corporate Finance updated the Compliance and Disclosure Interpretations for beneficial ownership reporting to clarify on exemption in the Hart-Scott-Rodino Act.