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SEC Sweep Rounds Up Corporate Insiders for Late Filings

Joe Mont | September 11, 2014

A Securities and Exchange Commission enforcement sweep has resulted in charges and fines against 28 officers, directors, and other shareholders for failing to promptly report required information about their holdings and transactions in company stock.  Six publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies. Among those agreeing to settlements were Brown Brothers Harriman, The Royal Bank of Scotland Group, and Starwood Hotel & Resorts.

The enforcement initiative focused on two types of ownership reports that are intended to aid investors as they evaluate whether the holdings and...

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