A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
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SEC Commissioner Jaime Lizárraga criticized the Investment Advisory Committee's draft recommendations on digital engagement practices that urged the SEC to amend existing rules instead of adopting new ones.
The SEC charged five unregistered broker-dealers and four unregistered investment companies with deceptive pre-initial public offerings.
The SEC set an effective date for Privacy Act amendments of October 26, 2023. The effective date was published in the Federal Register.
The SEC amended Privacy Act regulations that are applicable to the Commission (not the regulations that apply to registrants) to eliminate unnecessary provisions and introduce electronic methods for identity verification and Privacy Act requests.