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.
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.
An online transportation networking company settled charges with the SEC for failing to disclose a "related person" transaction in which one of its directors assisted in the sale of a large block of private shares worth $424 million prior to the company's IPO.
The SEC proposed amendments to the SEC EDGAR system, which would require each electronic filer to authorize an account administrator to manage their account.
Commentary by Steven Lofchie
A company offering crypto asset-related financial products and services settled charges with the SEC for failing to register securities offerings.