A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
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A company offering crypto asset-related financial products and services settled charges with the SEC for failing to register securities offerings.
In an Investor Bulletin, the SEC and FINRA described the various ways in which a customer may hold securities and warned of the risks associated with crypto assets.
The SEC charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."
The SEC set an effective date of August 21, 2023, for amendments that will remove references to credit ratings from existing exceptions to rules on market manipulation. The effective date was published in the Federal Register.