Breton Leone-Quick

Breton Leone-Quick

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SEC Uses Data Analytics to Identify and Punish Late Form Filers

Can merely late filing of “routine” forms get you in trouble with the SEC? Yes, at least if it happens too often. On Wednesday the SEC announced charges and financial penalties totaling $2.6 million against 28 officers,...more

9/15/2014  /  Enforcement Actions , Filing Deadlines , Filing Requirements , Publicly-Traded Companies , Reporting Requirements , Securities and Exchange Commission (SEC)
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