Premium
Anthony J Cataldo, who was accused of diverting millions in company funds, agreed to settle fraud allegations for a fraction of the amount regulators say he stole.
SEC Rule 13b2-1
Prohibits the direct and indirect falsification of any books, records or accounts subject to section 13(b)(2)(A) of the Act.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
eCFR Title 17 Chapter II Part 240 section 240.13b2-1Latest News
Latest News
Premium
SEC alleges former CFO lied to auditors and falsified records to inflate Acreage’s year-end cash balance.
Premium
The FCPA enforcement action against Cognizant is going forward despite President Trump’s Executive Order.
Premium
Company settled SEC charges for related accounting controls violations, avoiding penalties because of its self-reporting, cooperation and remediation efforts.