An initial coin offering issuer and its CEO settled SEC charges for conducting an unregistered offering and sale of digital asset securities, and for making materially false and misleading statements.
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The U.S. Supreme Court held that (i) the President of the United States can remove the Federal Housing Finance Agency director for any reason and (ii) the FHFA can continue to collect profits from Fannie Mae and Freddie Mac, for which it has served as a conservator since the 2008 financial crisis.
At a London City Week conference, SEC Chair Gary Gensler highlighted recent requests to staff for recommendations on public company disclosure as to climate risk and human capital.
The SEC issued awards totaling almost $5.3 million to four whistleblowers for providing original information that led to two separate successful enforcement actions.
A firm settled NYSE American charges for (i) preemptively crossing an order that enabled the firm to circumvent competition from on-floor market makers and (ii) adjusting a trade to an inferior price for a customer without prior customer agreement.