Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, September 19, 2014

SEC Charges 28 With Insider Reporting Failures


Going Public LawyerOn September 10, 2014, the Securities and Exchange Commission (the SEC ) announced enforcement actions and penalties of more than $2.6 million against 28 individual directors, officers, and beneficial owners and 6 issuers for failure to promptly report their holdings in Section 16(a) reports and Schedule 13D and Schedule 13G filings. The insider reporting charges include 13 officers and directors, 5 beneficial owners... Read MoreGoing Public Lawyer
http://www.securitieslawyer101.com/2014/insider-reporting/

No comments:

Post a Comment