Capital Markets & Securities Law Watch
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October 16, 2023
|3 min read
SEC Update: Shortened Securities Ownership Reporting Deadlines
On October 10, 2023, the Securities and Exchange Commission (SEC) announced the adoption of final amendments governing beneficial-ownership
reporting.
reporting.
October 2, 2023
|2 min read
Avoid the SEC Penalty Box – Late Insider Reporting
As a result of failing to file or filing late, the SEC estimated that investors were deprived of information regarding over $90 million in company-stock
transactions.
transactions.