and UK Authorities Regarding Central Counterparty Resolution Headline: Joint Readout of Principals’ Meeting of U.S. Headline: SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks Headline: SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised Headline: SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures Headline: SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme Headline: SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities Headline: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities Headline: SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud Headline: SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations Headline: SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors Headline: SEC Announces Enforcement Results for Fiscal Year 2023
Headline: Charter Communications to Pay $25 Million Penalty for Stock Buyback Controls Violations Headline: SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest
