SEA 1934 Rule 13(a)
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Carl Icahn and Icahn Enterprises settle with SEC over disclosure rules violations
The agency accused Icahn and his company of failing to disclose billions in shares used to secure personal margin loans.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.
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AT&T pays $6.25m to settle disclosure violations
The settlement of the charges related to the selective disclosure of material non-public information to research analysts by three company executives.