The SEC adopted amendments to Exchange Act Rule 10b5-1. The amendments will increase obligations for parties seeking the insider trading safe harbor provisions, including expanded disclosure requirements.
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The SEC proposed new rules and amendments to comply with Congress’s mandate to provide greater short sale transparency to investors.
An attorney and the business affairs manager of his law firm agreed to settle SEC charges of illegally selling shares of a company focused on the application of blockchain technology for food, drugs and healthcare.
In testimony before the U.S. House Committee on Financial Services, SEC Chair Jay Clayton outlined priorities for the agency and reviewed recent accomplishments.
The SEC proposed a "draft strategic plan" detailing the agency's priorities for FY 2018 through FY 2022. The SEC invited public comment on the plan.