{"id":7534,"date":"2024-09-26T14:25:49","date_gmt":"2024-09-26T18:25:49","guid":{"rendered":"https:\/\/seci.wpenginepowered.com\/?p=7534"},"modified":"2024-09-26T14:25:54","modified_gmt":"2024-09-26T18:25:54","slug":"insider-transaction-and-beneficial-ownership-reporting-an-enforcement-reminder","status":"publish","type":"post","link":"https:\/\/seciblog.pli.edu\/index.php\/insider-transaction-and-beneficial-ownership-reporting-an-enforcement-reminder\/","title":{"rendered":"Insider Transaction and Beneficial Ownership Reporting \u2013 An Enforcement Reminder"},"content":{"rendered":"<p>On September 25, 2024, the Enforcement Division <a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2024-148\">announced<\/a> settled actions against 23 companies and individuals relating to Section 16 and Section 13 reporting.\u00a0 The various actions involved:<\/p>\n<p style=\"padding-left: 40px;\">Failure of individuals to file Section 16 reports;<\/p>\n<p style=\"padding-left: 40px;\">Failure of companies to report delinquent Section 16 reports; and<\/p>\n<p style=\"padding-left: 40px;\">Failure of companies to file Forms 13D, 13G, 13F, and Section 16 reports.<\/p>\n<p>The companies and individuals involved paid fines totaling $3.8 million.\u00a0 The Enforcement Division included a link to a September 27, 2023 <a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2023-201\">announcement<\/a> of a similar sweep involving 11 cases, making it clear that this continues to be a focus of their work.<\/p>\n<p>As always, your thoughts and comments are welcome.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>On September 25, 2024, the Enforcement Division announced settled actions against 23 companies and individuals relating to Section 16 and Section 13 reporting.\u00a0 The various actions involved: Failure of individuals to file Section 16 reports; Failure of companies to report delinquent Section 16 reports; and Failure of companies to file Forms 13D, 13G, 13F, and &hellip; <a href=\"https:\/\/seciblog.pli.edu\/index.php\/insider-transaction-and-beneficial-ownership-reporting-an-enforcement-reminder\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Insider Transaction and Beneficial Ownership Reporting \u2013 An Enforcement 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-7534","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\/7534","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=7534"}],"version-history":[{"count":0,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/7534\/revisions"}],"wp:attachment":[{"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=7534"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=7534"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=7534"},{"taxonomy":"author","embeddable":true,"href":"https:\/\/seciblog.pli.edu\/index.php\/wp-json\/wp\/v2\/coauthors?post=7534"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}