In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
News & Insights
The SEC set a new comment deadline of June 13, 2023 for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC reopened the comment period for a proposal that would amend the statutory definition of "exchange" to include trading systems that facilitate the trading of crypto asset securities.
The SEC charged an individual with engaging in a scheme to inflate prices in securities on a decentralized exchange, and using swaps contracts, at their inflated value, as collateral to secure other digital assets.
The DOJ, the SEC and the CFTC charged the Alameda Research CEO and the FTX Chief Technology Officer in schemes to defraud FTX's customers and investors.