The SEC Division of Corporation Finance issued guidance on Division activities in the event of a government shutdown.
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Two crypto firms, one an issuer and the other its agent, settled with the SEC for engaging in the unregistered offer and sale of securities through a crypto asset lending program.
A footwear company settled with the SEC for failing to make required disclosures of related person transactions in its annual reports and proxy statements.
In an address before the Council of Institutional Investors, SEC Commissioner Mark T. Uyeda underscored the importance of adhering to statutory limits in the exercise of administrative power and enforcement, and called for a regulatory framework that provides clear, predictable guidelines for market participants.
The SEC named Natasha Vij Greiner incoming Director of the Division of Investment Management. Current Director William Birdthistle will step down on March 8, 2024.