Alerts9.24.24
SEC Sanctions Investment Managers for Failure to Report on Forms 13F and 13H
Highlights
The SEC has sanctioned 11 investment managers for failure to file Form 13F and, in some cases, Form 13H
Nine of the managers paid civil penalties totaling more than $3.4 million
These enforcement actions, taken together with other recent SEC initiatives, are a reminder for investment managers to reassess their SEC reporting obligations
On Sept. 17, 2024, the U.S. Securities and Exchange Commission (SEC) announced settled charges against 11 investment management firms for failing to file Form 13F, the quarterly public report required of any institutional investment manager who oversees a portfolio of at least $100 million of certain U.S.-listed securities.
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