{"id":2736,"date":"2023-09-28T10:02:05","date_gmt":"2023-09-28T14:02:05","guid":{"rendered":"https:\/\/seci.wpenginepowered.com\/?p=2736"},"modified":"2023-09-28T10:02:10","modified_gmt":"2023-09-28T14:02:10","slug":"enforcement-sends-an-emphatic-section-16-reporting-reminder","status":"publish","type":"post","link":"https:\/\/seciblog.pli.edu\/index.php\/enforcement-sends-an-emphatic-section-16-reporting-reminder\/","title":{"rendered":"Enforcement Sends an Emphatic Section 16 Reporting Reminder"},"content":{"rendered":"<p style=\"font-weight: 400;\">On September 27, 2023, the Enforcement Division <a href=\"https:\/\/www.sec.gov\/news\/press-release\/2023-201\">announced<\/a> settled enforcement orders against six individuals and five companies based on Section 16 and Forms 13D and 13G reporting failures.\u00a0 The individuals and\u00a0 companies paid fines ranging from $115,000 to $200,000.\u00a0 Sanja Wadhwa, Deputy Director of the SEC\u2019s Division of Enforcement, said:<\/p>\n<p style=\"font-weight: 400; padding-left: 40px;\">\u201cToday\u2019s enforcement action should serve to remind SEC filers that reporting obligations under the securities laws are not optional, and there are consequences for failing to file required forms in a timely manner.\u201d<\/p>\n<p style=\"font-weight: 400;\">This enforcement sweep is very similar to a <a href=\"https:\/\/www.sec.gov\/news\/press-release\/2014-190\">September 2014 sweep<\/a>.\u00a0 You can read more in this <a href=\"https:\/\/www.sec.gov\/news\/press-release\/2023-201\">Press Release<\/a>, where you can find links to the individual orders.<\/p>\n<p style=\"font-weight: 400;\">As always, your thoughts and comments are welcome!<\/p>\n<p style=\"font-weight: 400;\">\n","protected":false},"excerpt":{"rendered":"<p>On September 27, 2023, the Enforcement Division announced settled enforcement orders against six individuals and five companies based on Section 16 and Forms 13D and 13G reporting failures.\u00a0 The individuals and\u00a0 companies paid fines ranging from $115,000 to $200,000.\u00a0 Sanja Wadhwa, Deputy Director of the SEC\u2019s Division of Enforcement, said: \u201cToday\u2019s enforcement action should serve &hellip; <a href=\"https:\/\/seciblog.pli.edu\/index.php\/enforcement-sends-an-emphatic-section-16-reporting-reminder\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Enforcement Sends an Emphatic Section 16 Reporting Reminder<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":9,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"_jetpack_newsletter_access":"","_jetpack_dont_email_post_to_subs":false,"_jetpack_newsletter_tier_id":0,"_jetpack_memberships_contains_paywalled_content":false,"_jetpack_memberships_contains_paid_content":false,"footnotes":"","jetpack_publicize_message":"","jetpack_publicize_feature_enabled":true,"jetpack_social_post_already_shared":true,"jetpack_social_options":{"image_generator_settings":{"template":"highway","default_image_id":0,"font":"","enabled":false},"version":2},"_wpas_customize_per_network":false},"categories":[261,143],"tags":[],"coauthors":[154],"class_list":["post-2736","post","type-post","status-publish","format-standard","hentry","category-enforcement","category-hot-topic"],"jetpack_publicize_connections":[],"jetpack_featured_media_url":"","jetpack_sharing_enabled":true,"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/2736","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/9"}],"replies":[{"embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=2736"}],"version-history":[{"count":0,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/2736\/revisions"}],"wp:attachment":[{"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=2736"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=2736"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=2736"},{"taxonomy":"author","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/coauthors?post=2736"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}