In remarks at the "Going Public in the 2020s" Conference, SEC Commissioner Mark T. Uyeda decried the decline in the number of companies going public and made several recommendations for reversing the trend, particularly for smaller companies, which he said would benefit Main Street investors.
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An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
A real estate investment company and a related affiliate settled SEC charges for offering promissory notes without filing a registration statement.
FINRA warned investors to exercise caution when investing in small capitalization initial public offerings due to an increase in pump-and-dump schemes.