SEC
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SEC proposes public company reforms to ease registered offerings
One of the most significant changes under the proposed rules would expand federal preemption to all registered securities offerings.
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SEC ends gag rule
For more than 50 years, the rule prohibited settling defendants from publicly denying the SEC’s claims.
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Former pharma CEO agrees $30k settlement with SEC over fraud allegations
Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.
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SEC and CFTC revisit Form PF – a recalibration of data and regulatory intent
A joint proposal signals a shift from maximal data collection toward a more selective model of systemic risk monitoring.
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Atkins addresses innovation and exemptions in DC Economic Club speech
Atkins touched on familiar themes, including sandboxes for tokenized security trading and a more streamlined IPO process.
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SEC opens Treasury cross-margining to certain customer accounts
The changes can lower collateral needs by bundling related positions.
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SEC opens non-registration path for some crypto trading interfaces
A staff advisory said some “self-custody” crypto trading interfaces may be able to operate without broker-dealer registration if they do not provide recommendations.
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The SEC’s new arithmetic – fewer cases, sharper consequences
Enforcement at the SEC has slowed in volume, but for those who fall within its narrower focus, the consequences may be more severe than before.