Proposed SEC Rule and Form Amendments Aim to Enhance Security and Improve Filer Access to EDGAR System

The SEC proposed amendments that would require EDGAR filers to authorize and verify individuals managing their accounts, as well as an optional API for enhanced access to EDGAR filings, which will be open for public beta testing in September 2023.

Annual Adjustments to Securities Act Fee Rates for FY 2024

The Commission has determined the target collection amount for fees paid under Sections 6(b), 13(e), 14(g) and 24f-2 of the Securities Act of 1933, 1934, and 1940 and Investment Company Act of 1940 to be $839,771,535 for fiscal year 2024.

SEC Announces Record-Breaking Whistleblower Award of $18 Million

The SEC awarded more than $18 million to a whistleblower whose information and assistance led to a successful enforcement action.

SEC Charges Impact Theory with Unregistered Offering of Crypto Asset Securities

The SEC charged Impact Theory with conducting an illegal unregistered offering of crypto asset securities, and ordered it to pay a combined total of more than $6.1 million in fines and other penalties.

SEC Charges Citigroup Global Markets for Violations of Recordkeeping Requirements

The SEC announced a settlement against broker-dealer Citigroup Global Markets Inc. for violating recordkeeping requirements related to its underwriting business, with a penalty of $2.9 million.

SEC Charges ATSI for Failing to File Suspicious Activity Reports

The SEC has charged Archipelago Trading Services Inc. with failing to file 461 Suspicious Activity Reports (SARs) between August 2012 and September 2020, leading to a $1.5 million penalty.

Reforming NMS Plan Governance to Enhance Fairness in Equity Market Data Provision

The Order requires the participants in NMS plans to submit a new plan for public notice and comment, with the existing plans to continue governing consolidated equity market data until the new plan is effective.