The SEC Division of Corporation Finance granted no-action relief to a bank holding company from being considered an "ineligible issuer" under the definitions section of Securities Act rules on registration statements and prospectuses.
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A Delaware-based blockchain company settled SEC charges for offering and selling digital tokens, in violation of securities registration requirements.
SEC Chair Jay Clayton highlighted the benefits of settlement agreements and announced a change in the agency's approach to contemporaneous settlement offers and waiver requests.
The SEC Division of Corporation Finance granted no-action relief to a bank from being considered an "ineligible issuer" under Securities Act Rule 405 , subject to certain conditions.
The SEC Division of Corporate Finance waived the "bad actor" disqualification of a broker-dealer after it settled charges with FINRA.