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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An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. The CFTC agreed not to make "any public statement about this case."
The CFTC requested comments on the reproposed position limits rules, which would place limits on speculative futures and swaps positions.