Tag: going-private transaction

SEC Enforcement tries to fix more “broken windows”

by Cydney Posner On Friday, the SEC charged eight officers, directors and major shareholders for failing to update their Schedule 13D stock ownership reports to reflect material changes in connection with several going-private transactions. According to the press release, each person or entity charged “took steps to advance undisclosed plans […]

Cydney Posner / March 14, 2015

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Tag: going-private transaction

SEC Enforcement tries to fix more “broken windows”