The SEC requested comment on a Nasdaq Stock Market LLC amended proposed rule to adjust pricing limitations on direct listings of primary offerings.
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Three media companies settled SEC charges for conducting unregistered stock and digital asset securities offerings.
The SEC Office of Investor Education and Advocacy and the Division of Enforcement Retail Strategy Task Force urged investors to be cautious of investments that have been broadly advertised to the general public.
SEC Chair Jay Clayton asserted that initial coin offerings are likely to involve the sale of assets that qualify as securities, and urged investors to proceed with caution when considering ICO or cryptocurrency-related investments.
A California-based company shut down its initial coin offering and issued refunds to investors after the SEC initiated an investigation into its operations.