SEA 1934 Rule 12b-20
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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SEC dings Becton Dickinson $175m for misrepresenting product risks
The company failed to properly inform investors about regulatory challenges it was experiencing with the FDA.
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SEC charges Kiromic BioPharma for failing to disclose FDA holds
Two former executives were fined, but the company itself will not receive a civil penalty due to its self-reporting.
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SEC charges four companies for underreporting Sunburst data breach damage
The four settlements come nearly one year after the SEC sued SolarWinds for misleading investors about its cybersecurity controls.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.