A broker-dealer agreed to settle state charges concerning supervisory deficiencies that resulted in the sale of unregistered, non-exempt securities to customers.
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An internet-based financial technology company agreed to pay a fine to settle SEC charges that it issued stock options to employees without registering the offering or complying with relevant disclosure requirements.
The SEC adopted rules to update and modernize the intrastate and regional offering framework.
The SEC concept release reviewing the framework for exempt offerings was published in the Federal Register.
The Investment Company Institute and the Managed Funds Association responded to an SEC concept release on Securities Act registration exemptions that facilitate capital raising.