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 ...

What is a Form 13F? A 13F disclosure is a quarterly report that institutional investors with $100 million or more in assets under management (AUM) must file with the US Securities and Exchange ...

The Securities and Exchange Commission announced charges against 11 institutional investment managers for failing to file required Form 13F reports, including one from New Jersey. All cited firms ...