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.
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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC amended rules on the filing of certain beneficial ownership reports and provided guidance on (i) disclosure requirements with respect to derivative securities and (ii) the legal standards applicable to certain common types of shareholder engagement activities.
The CFTC Division of Market Oversight extended no-action relief from the ownership and control reporting requirements for reporting entities.
A broker-dealer settled FINRA charges for failing to make accurate reports of OTC options to the Large Options Positions Reporting system.