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SEC sweep targets tardy stock filings

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Photo: Chung Sung-Jun/Getty Images

Julie DiMauro

2 min read
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The SEC fined Alphabet, Wall Street firms and some individuals more than $3.8m for late beneficial ownership and other reports.

The SEC has announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock.

Two public companies were also charged for contributing to filing failures by their officers and directors and failing to report their insiders’ filing delinquencies as

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