The SEC delayed its decision on a proposed rule change by Nasdaq that would allow the listing of exchange-traded funds based on Ethereum.
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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.
Following a comprehensive two-year examination of carbon markets, the CFTC proposed guidance on the listing of voluntary carbon credit derivative contracts.
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.
The SEC set an effective date of February 5, 2024 for final rules on the filing of certain beneficial ownership reports and guidance. The SEC also outlined compliance date requirements. The SEC final rules and guidance were published in the Federal Register.