Tag Archives: Form 4

SEC Launches Enforcement Sweep for Violations of Section 13(d) and Section 16

On September 27, 2023, the SEC announced a series of enforcement actions against six officers, directors and major stockholders of public companies, as well as five companies, for repeated failures to report information regarding ownership of and transactions in the companies’ stock.  In an action reminiscent of its 2014 enforcement sweep, the SEC used data analytics to identify individuals who repeatedly failed to make required filings in a timely fashion.  … More