Section 13 and 16 Developments: Lessons Learned from Recent SEC Enforcement Actions
Over the past year, the U.S. Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. […]
Posted by Maia Gez, Scott Levi, and Danielle Herrick, White & Case LLP, on Monday, November 18, 2024
Editor's Note:
Maia Gez and Scott Levi are Partners, and Danielle Herrick is a Professional Support Counsel, at White & Case LLP. This post is based on a White & Case memorandum by Ms. Gez, Mr. Levi, Ms. Herrick, and Claudette Druehl.
Over the past year, the U.S. Securities and Exchange Commission (“SEC”) has intensified its focus on beneficial ownership reporting under Sections 13(d), 13(g) and 16(a) of the Securities Exchange Act of 1934 (“Exchange Act”), as well as seemingly starting to focus on enforcement of reporting obligations under Sections 13(f) and 13(h) of the Exchange Act. This alert provides an in-depth review of recent developments and lessons learned from recent SEC enforcement actions.
