A healthcare services company, its former CFO and the company's controller settled SEC charges for accounting and disclosure violations that led the company to report inaccurately high net income and earnings per share.
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Treasury and the Monetary Authority of Singapore finalized a bilateral memorandum of understanding on Cybersecurity Cooperation.
The SEC adjusted the securities registration fee rate for public companies and other issuers.
CFTC Commissioner Stump outlined the agency's regulatory and enforcement authority with respect to digital assets. Commissioner Stump noted the proliferation of digital assets has resulted in the "grossly inaccurate oversimplification" that such assets are either SEC-regulated securities or CFTC-regulated commodities.
A broker-dealer settled FINRA, NYSE and NYSE American charges for violations of short sale close out and "penalty box" provisions, which prohibit the short sale of securities when Reg. SHO's close out requirement is unsatisfied and the broker-dealer has not borrowed or arranged to borrow the securities.