An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
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The SEC adopted amendments to "simplify, harmonize, and improve certain aspects of the exempt offering framework." The amendments expand the availability of exemptions in order to "promote capital formation while preserving or enhancing important investor protections."
An SEC proposal to amend the Securities Act exemptive framework was published in the Federal Register.
The SEC proposed amendments to the Securities Act exemptive framework that would expand their availability and make it easier to raise money under those exemptions.
SEC Chair Jay Clayton and Commissioner Hester M. Peirce expressed support for two recent SEC rulemakings applicable to security-based swap dealers.