Sixteen firms, including investment advisers as well as broker-dealers, settled SEC charges for failures by the firms and their employees to maintain and preserve electronic communications.
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In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.
A company that borrowed crypto securities and promised to return them with interest settled SEC charges for failing to file a registration statement or qualify for an exemption under the Securities Act.
A China-based issuer settled SEC charges for violating the antifraud provisions of the Securities Exchange Act and certain reporting, recordkeeping and internal control requirements.
The SEC adopted two new rules under the Securities Exchange Act to further define the term "as a part of a regular business." The new rules expand the scope of firms that are required to register as broker-dealers and as government securities broker-dealers.