A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
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The SEC instituted proceedings to determine whether to approve a FINRA proposal that would change margin requirements for certain types of "protected" index options.
The SEC charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."
SEC Commissioner Caroline A. Crenshaw recommended additional regulation on the fixed income and options markets.
SEC Commissioner Caroline A. Crenshaw responded to reports that retail investors may be unable to exercise put options purchased on Silicon Valley Bank and Signature Bank stock.