Exchange Act s.16(a)

Requires directors, officers and holders of more than ten per cent of a class of shares to report their holdings and changes in them. 31 records cite it, filed 2009 to 2026.

United States · Securities Exchange Act of 1934 · 15 U.S.C. 78p(a)

Official text: 15 U.S.C. 78p (LII)

Counts

Most recent matched records

• SEC v. Paul W. Jorgensen (insider trading, 2026) (2026-03-17)
• SEC v. John S. Clayton and others (insider trading, 2024) (2024-12-11)
• SEC v. Eric Hannelius (insider trading, 2024) (2024-09-27)
• SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2024) (2024-05-15)
• SEC v. Roy M. Cook and others (insider trading, 2024) (2024-03-12)
• SEC v. Dozy Mmobuosi, et al. (financial-statement fraud, 2023) (2023-12-18)
• SEC v. Andrew DeFrancesco, Marlio Mauricio Diaz Cardona, Carlos Felipe Rezk, Nikola Faukovic, and Catherine DeFrancesco (pump and dump, 2023) (2023-07-07)
• SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2022) (2022-09-16)
• SEC v. Rahim Mohamed, Davies ("Dave") Wong, et al. (hijacked account ramping, 2022) (2022-08-15)
• SEC v. David Aubel and Robert Raffa (pump and dump, 2020) (2020-01-27)
• SEC v. S. Paul Kelley, et al. (reverse merger schemes, 2019) (2019-12-20)
• SEC v. Zev Saltsman, et al. (unregistered distributions, 2019) (2019-07-17)
• SEC v. Tiber Creek Corp. and James M. Cassidy (shell factories, 2019) (2019-03-26)
• SEC v. David G. Dreslin, Michael Toups and Leslie Toups (2018) (2018-12-03)
• SEC v. Nutra Pharma Corp. et al (unregistered distributions, 2018) (2018-09-28)