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.
News & Insights
A comment deadline of November 21, 2023 was published in the Federal Register for proposed amendments to the EDGAR system, which would require each electronic filer to authorize an account administrator to manage their account.
The SEC proposed amendments to the SEC EDGAR system, which would require each electronic filer to authorize an account administrator to manage their account.
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.
At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.