The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...

In late 2022, the Securities and Exchange Commission (SEC) adopted rule changes that will require institutional investment managers who file Form 13F to annually file a Form N-PX disclosing the manner ...

Each quarter, hedge funds, such as Prem Watsa’s Fairfax Financial Holdings, file 13F forms with the SEC. These 13F forms disclose many of the positions held in the funds’ equity portfolio during the ...