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1039 Results
August 18, 2022

A bank settled parallel SEC and Federal Reserve Board charges for (i) extending lines of credit to affiliates of the bank's CEO without the majority approval of its board, (ii) failing to disclose related party loans in annual reports and proxy statements, and (iii) issuing materially misleading statements.

July 21, 2022

In testimony before the House Financial Services Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, SEC Director of Enforcement Gurbir S. Grewal stated that the Division is focusing enhanced resources on protecting investors in digital asset markets.