Advisor Fined for Failing to Timely Amend Schedule 13D Filing
Section 13(d) of the Exchange Act is one of the key disclosure provisions of the federal securities laws. Generally, it requires those who acquire substantial shareholdings in an issuer to file a schedule which informs the markets of the holdings. …
Advisor Fined for Failing to Timely Amend Schedule 13D Filing
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Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged to have conducted a business which helped shareholders conceal their ownership and avoid their filing obligations. As a …
SEC – USAO File Actions Based on Scheme To Conceal Ownership Read More »