The SEC fined a broker-dealer and its former executive for disclosing confidential information in advance of block sales of securities.
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An investment adviser settled SEC charges for disclosing to investors, potential investors and industry contacts material non-public information in violation of the adviser's policies and procedures.
A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
Before the United States District Court for the Southern District of New York, the SEC charged a broker-dealer for failing to protect its customers' trading information.
The SEC set an effective date of August 29, 2023 for final rules aimed at preventing fraud and manipulation involving security-based swaps transactions. The new rules include an amendment to prohibit undue influence on security-based swap dealers' chief compliance officers.