SEC Charges Companies for Failing to Timely File Form D in Violation of Regulation D

On December 20, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against two private companies and one registered investment adviser (the “Parties”).  These charges asserted that the Parties violated Rule 503 of Regulation

The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  These new regulations are intended to enhance transparency in short selling and introduce significant changes