A convertible note financing business and its owners settled SEC charges for failing to register as a securities dealer.
News & Insights
163 News Results
The SEC adopted final rules on (i) the mandatory clearing of transactions in Treasury securities and (ii) the application of the broker-dealer customer protection rule to Treasury securities.
The SEC granted ICE Clear Europe's request to withdraw from registration as a clearing agency.
The SEC set an effective date of February 5, 2024 for final rules on the filing of certain beneficial ownership reports and guidance. The SEC also outlined compliance date requirements. The SEC final rules and guidance were published in the Federal Register.
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.