U.S. SEC Fines 23 for Late Major Shareholding Reports - 13D, 13G
Read more
25 September 2024 – Austria FMA Fines for Late Major Shareholding Reporting
Austria Fines for Late Major Shareholding Reporting
Read more
U.S. – SEC Fines 23 for Major Shareholding Reporting Failures
U.S. SEC Fines 23 for Major Shareholding Reporting Failures
Read more
U.S. – SEC Fines 11 Investment Managers for Major Shareholding Reporting Failures
On 17 September 2024, SEC charged 11 investment managers with major shareholding filing failures. SEC charges 11 investment managers with failing to report major shareholding. Two of the firms were also charged with failing to report large trader transactions. Involved Parties Orders filed against Ashton Thomas Private Wealth, LLC, Azzad Asset Management, Inc., Bulltick Wealth…
Read more
20 September 2024 – U.S. SEC Seeks to Fine Musk for Failure to Report Major Shareholding
U.S. Seeks to Fine Elon Musk for Failure to Report Major Shareholding
Read more
17 September 2024 – U.S. SEC Failure to File Form 13F for Major Shareholding
U.S. Failure to File Form 13F for Major Shareholding
Read more