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Issuer Risks & Liabilities
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On September 10, 2014 the SEC announced charges against corporate insiders for violating laws requiring prompt reporting of transactions and holdings. 28 officers, directors, or major shareholders were charged for violating federal securities laws requiring the prompt reporting about their holdings and transactions in company stock. In addition, six publicly-traded companies were charged for contributing to filing failures by insiders or failing to report their insiders’ filing delinquencies.

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