SEC는 보유자산과 내부자 거래를 신고하지 않은 23개 기업과 개인에게 380만 달러 이상의 벌금을 부과했다.#} 증권거래위원회(SEC)는 공기
The Securities Exchange Commission (SEC) has announced that it has fined 23 entities and individuals more than $3.80 million for failing to promptly report information on their holdings and transactions in public company stocks. The charges relate to the failure to file Form 13D, 13G, and 3, 4, and 5 as required.
Among those hit were Alphabet ($750,000) and Goldman Sachs ($300,000). Others, such as Sunbeam Management and TALANTA Investment Group, were hit with fines ranging from $40,000 to $200,000. Some executives were also fined up to $200,000 for failing to report.
The SEC has emphasised that investors rely on timely reports to make informed investment decisions, again reminding large investors to file required reports on time.