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ICYMI - SEC Director Gerding noted that compliance with 13D filing deadlines is a priority for Corp Fin. First SEC comments are already publicly available. My analysis: https://t.co/PFLUeETjLm https://t.co/lAxsoe5oxt
I’m gonna go out on a limb and say the SEC lobs a comment letter at Vista and Abu Dhabi Investment regarding the timing of their $SMAR 13D filings That said, doubt it’s an issue @ousvyatsky recently discussed beneficial ownership disclosures being an area of emphasis by the SEC https://t.co/HQACPipm7S https://t.co/kL8a3vQnk5
D, F, G, 3, 4, 5: Firms Charged for Failing to Make Section 13 and 16 Filings https://t.co/C84RQ7Iygl #SEC #securitiesexchange #insiderfilings @SEC_Enforcement
The SEC has initiated an enforcement program targeting companies and insiders for late filings under Sections 13 and 16 of the Securities Exchange Act. Multiple firms have been charged for failing to make the required filings, which include beneficial ownership reports under Sections 13(d), (g), and (f), and Forms 3, 4, and 5. The SEC's focus on compliance with filing deadlines has intensified, with recent comments indicating that beneficial ownership disclosures are a priority.
