On September 27, 2023, the Securities and Exchange Commission’s Division of Enforcement announced settled charges against five publicly-traded companies and six individuals for failures to timely report information about the individuals’ holdings and related transactions in the companies’ securities. The settled proceedings, each of which was entered into without admitting or denying the SEC’s findings, resulted in civil penalties ranging from $66,000 to $200,000, as well as cease and desist orders, and are summarized below. These actions build on the SEC staff’s continued focus on enforcing ownership reporting requirements, including the wide-ranging enforcement sweep against 34 companies and individuals in 2014.