The SEC charged three individuals with securities fraud for engaging in insider trading in the securities of Equifax, Inc. prior to its announcement of a major data breach.
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In a civil Complaint alleging cryptocurrency insider trading, the SEC asserted that nine of the 25 cryptocurrencies implicated in the alleged scheme were "crypto-asset securities."
The SEC adopted rule and form amendments to require certain financial documents to be filed electronically through the EDGAR and Investment Adviser Registration Depository systems.
In a comment letter on an SEC proposal to require institutional investment managers to report short position and short activity, the Investment Company Institute urged the SEC to expand existing reporting obligations rather than implement a new reporting regime.
In submitted comments, financial associations raised concerns about the SEC's proposed amendments to rules governing beneficial ownership.