A broadband connectivity company settled charges with the SEC for failing to maintain internal accounting controls intended to ensure that the company's stock buybacks were conducted in accordance with management authorizations.
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Six "insiders" of public companies settled charges with the SEC for failing to file reports on their securities holdings and transactions in a timely manner. Five public companies were also charged for contributing to the violations.
An investment adviser settled SEC charges for failure to (i) disclose conflicts of interest related to its ownership of special purpose acquisition companies and (ii) file timely and accurate reports.
The SEC Office of Investor Education and Advocacy cautioned investors of the risks involved in purchasing securities sold in private placements.
The SEC added 20 new positions to the Division of Enforcements Crypto Assets and Cyber Unit. The Unit combats fraud and other abuses in crypto markets.