A bank holding company settled SEC charges for (i) failure to maintain accurate records regarding commercial real estate security valuations, (ii) failure to incorporate all available market data into its valuations, (iii) issuing material misstatements relating to its valuations and (iv) related supervisory failures.
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A broker-dealer settled FINRA charges for failing to accurately calculate its required customer reserve, which resulted in recordkeeping, reporting, supervision and customer protection rule violations.
The American Institute of Certified Public Accountants' Financial Reporting Executive Committee requested feedback on proposed changes to AICPA's "Brokers and Dealers in Securities" Accounting Guide.
The SEC Division of Examinations outlined areas of focus concerning digital asset securities for future examinations.
SEC Enforcement Division Director Andrew Ceresney provided an overview of the Division's work on issuer reporting and disclosure. He discussed the changing context and complexity of violations and enforcement actions over time.