An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
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The SEC granted a Belgian company relief from certain SEA requirements as to the conduct of tender offers in the Belgian company's planned acquisition of shares of another Belgian-incorporated company.
A broker-dealer settled charges with FINRA it sent confirmations to institutions' customers that "inaccurately reflected the capacity in which the firm acted."
A broker dealer settled FINRA charges for failing to disclose to retail customers markup and markdown information on transactions in debt securities, including municipal securities and corporate and agency debt.
A broker-dealer settled charges brought by NYSE American for over-tendering 16,300 shares in a partial tender offer and for failing to maintain an adequate supervisory system.