We use cookies to deliver our online services. Details of the cookies we use and instructions on how to disable them are set out in our Cookies Policy. By using this website you agree to our use of cookies. To close this message click close.

SEC Announces Enforcement Initiative Directed at Insider Reporting Violations

17 September 2014

SEC Update

On September 10, the SEC announced that it had charged 28 public company insiders with alleged violations of the insider reporting requirements of Section 16(a), 13(d) or 13(g) of the Exchange Act and six public companies for contributing to filing failures or not disclosing their insiders’ filing delinquencies as required under Item 405 of the SEC’s Regulation S-K. With the exception of one individual who is contesting the charges, all of the respondents settled the charges by consenting to orders that they cease and desist from future violations and pay monetary penalties. A copy of the SEC’s announcement can be found here.

Read more: SEC Announces Enforcement Initiative Directed at Insider Reporting Violations

The team

Loading data