Simpson Thacher Attorneys Author Article on SEC Enforcement Actions for Section 13 and 16 Reporting Failures
10.04.24
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Partners Joseph Kaufman, Karen Hsu Kelley, Charles Mathes and James Rapp authored an article titled, “Simpson Thacher Discusses SEC Enforcement Sweep for Section 13 and 16 Reporting Failures,” which was published by The Columbia Law School Blue Sky Blog. The article discussed the SEC’s recent announcement that it had settled charges against 23 entities and individuals for failure to file and/or amend on a timely basis Schedules 13D and 13G and Forms 3, 4 and 5, with total penalties amounting to more than $3.8 million. It further provided key takeaways from the SEC’s enforcement actions with respect to Section 13 and 16 filings, noting that this is a reminder that the agency is prioritizing the enforcement of beneficial ownership disclosures.
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