Two crypto firms, one an issuer and the other its agent, settled with the SEC for engaging in the unregistered offer and sale of securities through a crypto asset lending program.
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A company that borrowed crypto securities and promised to return them with interest settled SEC charges for failing to file a registration statement or qualify for an exemption under the Securities Act.
The SEC charged five unregistered broker-dealers and four unregistered investment companies with deceptive pre-initial public offerings.
A broadband connectivity company settled charges with the SEC for failing to maintain internal accounting controls intended to ensure that the company's stock buybacks were conducted in accordance with management authorizations.
A company offering crypto asset-related financial products and services settled charges with the SEC for failing to register securities offerings.