SEA 1934 Rule 13(g) – Global Relay Intelligence & Practice

SEA 1934 Rule 13(g)

Enforcement

SEC sweep targets tardy stock filings

September 27, 2024

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

Julie DiMauro2 min read
FCA

Regulators busy as SEC revises reporting timelines, FCA blocks Binance

October 11, 2023

SEC revises reporting timelines on beneficial ownership, FCA blocks Binance’s UK promotion.

Martin Cloake2 min read