Delinquent Filings Program
The Division of Enforcement conducts investigations into possible violations of the federal securities laws for failing to make required filings with the Commission, as well as corporate insiders who fail to file the appropriate forms with the Commission regarding their personal securities trades, and prosecutes civil actions and administrative proceedings in this area. The Delinquent Filings Branch is interested in information from members of the public regarding:
- issuers that are delinquent in their periodic filings;
- directors, officers, and owners of more than ten percent of the equity securities of issuers whose equity securities are registered with the Commission who fail to file, or file late, their required statements of beneficial ownership on Forms 3, 4, 5, as required by Section 16(a) of the Securities Exchange Act of 1934, and Form 144 as required by Rule 144 promulgated under the Securities Act of 1933;
- persons who fail to file, or file late, Schedules 13D and 13G, as required by Sections 13(d) and 13(g) of the Securities Exchange Act of 1934; and
- issuers who maintain a corporate website but fail to provide on that website the beneficial ownership statements of their directors, officers, and owners of more than ten percent of the equity securities of issuers not later than the end of the business day following the filing of the statements, as required by Section 16(a)(4)(C) of the Securities Exchange Act of 1934.
Kindly send any information you have on delinquent filings to the Delinquent Filings Branch, 100 F Street, NE, Washington, DC 20549-2521, e-mail address DelinquentFilings@sec.gov, telephone (202) 551-5466.