The new SEC rule on enhanced issuer repurchase disclosures was published in the Federal Register with an effective date set for July 31, 2023.
A former bank executive settled SEC charges for misleading investors about the financial success of one of the bank's core businesses.
An investment adviser settled SEC charges for failure to (i) disclose conflicts of interest related to its ownership of special purpose acquisition companies and (ii) file timely and accurate reports.
The comment deadline was officially set for the SEC's proposed (i) amendments to current requirements on clearing agencies' risk-based margin systems and (ii) new rule on the content of clearing agencies' recovery and wind-down plans. The July 17, 2023 comment deadline was published in the Federal Register.
The SEC granted an extension of the temporary exemptive relief previously issued to national securities exchanges and national securities associations to facilitate settlement negotiations concerning Consolidated Audit Trail National Marketing System Plan amendments.