An investment adviser settled SEC charges for purchasing interests in a security via a public offering after short selling the same security during the Regulation M restricted period.
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An investment adviser settled SEC charges for violating an SEC trading rule by purchasing interests in a security via a public offering during the restricted period after short selling the same security.
SEC Commissioner Caroline A. Crenshaw advocated for imposing additional disclosure obligations for certain exempt private placements.
A cryptocurrency firm settled SEC charges for conducting an unregistered securities offering of a crypto asset lending product.
A real estate firm settled SEC charges for failing to satisfy registration exemption requirements and selling interests in a real estate fund to unaccredited investors.