The Daily Pennsylvanian

Penn holds over $79 million in gambling company and Krispy Kreme shares, DP analysis finds

Penn has consistently held stock investments in Krispy Kreme Inc., Light & Wonder Inc., and several other companies, according to an analysis of the University's Form 13F filings. The Form 13F is a ...
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The Form 13F Trap: 5 Things to Know

What is a Form 13F? A 13F disclosure is a quarterly report that institutional investors with $100 million or more in assets under management (AUM) must file with the US Securities and Exchange ...
The National Law Review

SEC Sanctions Investment Managers for Failure to Report on Forms 13F and 13H

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
JD Supra

SEC Brings Charges for Failure to File Forms 13F (Investment Manager Share Positions) and 13H (Large Trader Registration)

The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...
The National Law Review

SEC Rule 13f-2 and Form SHO: New Short Position Reporting Requirements for Certain Investment Managers

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...