A trading platform settled SEC charges for facilitating the purchase and sale of digital asset securities without registering as a national securities exchange or operating pursuant to a registration exemption.
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The SEC approved two Nasdaq Stock Market LLC rule proposals on board diversity: one requiring disclosure of diversity statistics and one offering free access to a board recruiting service.
A company that sold digital tokens using smart contracts and "decentralized finance" technology and its two executives settled SEC charges for the unregistered sale of over $30 million of securities.
An inter-dealer broker settled FINRA charges for non-compliance with SEC Systems Compliance and Integrity regulations after the broker failed to determine that its alternative trading system was subject to the regulation.
An investment banking and broker-dealer firm settled NYSE Arca and NYSE American charges for failing to submit, or submit in a timely manner, notifications in connection with its engagement in the distribution of securities.