A broker-dealer agreed to pay $10 million to settle charges brought by the SEC and the Office of the New York Attorney General for inaccurate statements regarding the handling of held retail equity orders.
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In testimony before the U.S. House Committee on Financial Services, SEC Division of Investment Management Director Dalia Blass outlined the underlying aims of the Division's policy initiatives.
In a new set of FAQs issued by staff, the SEC Division of Trading and Markets provided guidance for intermediaries offering services under Regulation Crowdfunding.
In a final audit report, the SEC Office of the Inspector General identified ways in which the SEC Office of Compliance Inspections and Examinations could improve oversight of the Technology Controls Program.
In a Complaint filed in the U.S. District Court for the Southern District of New York, the SEC charged Tesla Chief Executive Elon Musk with violating the antifraud provisions of the federal securities laws.