The SEC named Charles Koretke to serve as Managing Executive of the Division of Examinations to manage and lead the Division's business operations. Mr. Koretke has been serving as Acting Managing Executive since October 2019.
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The SEC charged a technology company, its current CEO, and its co-founder and executive chairman of its board with conducting an unregistered, ongoing digital securities offering.
The SEC adopted amendments for the advertising and cash solicitation rules, the books and records rule, and Form ADV.
The Federal Reserve Board, the FDIC and the OCC extended time-limited no-action relief to asset managers and other institutions from certain regulations that limit extensions of credit to "insiders."
The SEC and the Commissione Nazionale per le Società e la Borsa ("CONSOB") entered into a Memorandum of Understanding which sets forth the terms for consultation, cooperation and the exchange of information concerning oversight of securities and derivatives activities.