The SEC adopted the 2024 annual budget of the Public Company Accounting Oversight Board along with the related annual accounting support fee.
News & Insights
An investment adviser settled charges for making misleading statements in advertisements based on hypothetical performance.
The SEC granted an extension of the temporary exemptive relief previously issued to national securities exchanges and national securities associations to facilitate settlement negotiations concerning Consolidated Audit Trail National Marketing System Plan amendments.
At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.
The SEC opened a new comment period to consider whether to approve a joint SRO-proposed amendment to revise the Consolidated Audit Trail Reporter Agreement and the Consolidated Audit Trail Reporter Agent Agreement.