WebFiled pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 . OMB APPROVAL: OMB Number: 3235-0287: Estimated average burden: hours per response: 0.5: Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. WebApr 14, 2024 · The SEC charged that the company violated Exchange Action section 10(b) and Rule 10b-5, Securities Act Section 17(a), and Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-16 (in connection with its Forms 20-F and 6-K). The SEC requested a permanent injunction, disgorgement and civil monetary penalties.
Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 …
WebIt shall be unlawful for any member, broker, or dealer to effect any transaction in any security (other than an exempted security) on a national securities exchange unless a registration is effective as to such security for such exchange in accordance with the provisions of this chapter and the rules and regulations thereunder. Web3 6(b)(5).11 As the Commission has explained, an exchange that lists bitcoin-based ETPs12 can meet its obligations under Exchange Act Section 6(b)(5) by demonstrating that the exchange has 11 See Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To … security first florida insurance
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