The SEC adopted final amendments to exemptions permitting certain internet investment advisers to register with the SEC, rather than to register with the States.
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The SEC set an effective date of January 2, 2024 and accompanying compliance dates for new Exchange Act Rule Rule 10c-1. The final rule was published in the Federal Register.
The SEC adopted a new rule under the Securities Exchange Act which imposes reporting requirements on persons who lend "reportable securities."
An entity and its owner settled charges with the CFTC for failure to register as a commodity trading adviser in connection with the provision of trading signals for binary options transactions.
The SEC set a comment deadline of October 2, 2023, for proposed amendments to exemptions from the prohibition on Commission registration for certain investment advisers that provide advisory services through the internet.