The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
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SEC Commissioners asked the Small Business Capital Formation Advisory Committee to address capital raising in the context of current market conditions, including among others, rising interest rates and the increasing use of artificial intelligence.
SEC Commissioner Mark T. Uyeda warned that rapid change to securities regulations can have wide-spread consequences and that the benefits of globalizing capital markets can only be achieved through "responsible regulation."
The SEC Division of Corporation Finance granted an India-based entity no-action relief from certain Exchange Act tender offer requirements to allow for compliance with applicable Indian law.
In its annual report, the SEC Office of the Advocate for Small Business Capital Formation offered recommendations to improve capital raising for entrepreneurs and investors.