The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
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An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
The SEC set an effective date for Privacy Act amendments of October 26, 2023. The effective date was published in the Federal Register.
The SEC amended Privacy Act regulations that are applicable to the Commission (not the regulations that apply to registrants) to eliminate unnecessary provisions and introduce electronic methods for identity verification and Privacy Act requests.
Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.