Tag: SEC enforcement division

WSJ reports SEC Enforcement looking at failures to disclose alliances among hedge fund activists

by Cydney Posner The WSJ reports that the SEC is investigating whether some hedge fund activists formed 13D “groups” but failed to make appropriate disclosure of their alliances. Under Rule 13d-5, when two or more persons agree to act together for the purpose of acquiring, holding, voting or disposing of […]

Cydney Posner / June 7, 2015

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Tag: SEC enforcement division

WSJ reports SEC Enforcement looking at failures to disclose alliances among hedge fund activists