SEC hits 13 firms with enforcement actions for failure to file disclosures


SEC, investment, private equity, law
The U.S. Securities and Exchange Commission headquarters in Washington on June 24, 2011. Photo courtesy Reuters/Jonathan Ernst
  • Form PFs include information about investment strategy, portfolio companies
  • SEC uses forms to collect data, identify enforcement priorities
  • Firms fined $75,000, didn’t admit or deny allegations
The SEC censured 13 private investment firms for failing to file timely disclosures about their investment funds, strategies and portfolio companies. Each firm agreed to pay a $75,000 penalty without admitting or denying the SEC’s findings. “These advisers’ repeated reporting ...

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