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 charged a firm and its sole officer for failing to register as a dealer in connection with its "convertible notes business."
The SEC charged a broker-dealer for failing to file suspicious activity reports regarding OTC trades of low-priced securities. The SEC alleged the trades constituted a "red flag" as defined in the broker-dealer's own procedures.
The SEC conditionally permitted FINRA to access security-based swap data obtained from security-based swap data repositories.
The U.S. Court of Appeals for the District of Columbia upheld a final rule promulgated by the SEC which would amend Regulation NMS to expand the content of NMS market data that would be generally available to the public.