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The president also designates one of the commissioners as chairman, the SEC's top executive. Service may continue past term expiration [1] up to eighteen additional months. [2] This page is sorted by president and date of appointment; a second list sorts the page by SEC member's employment with private firms.
Total number of employees is 227,536 excluding California State Universities. [1] In 2004, there were 4,462 job classifications, many of which had no employees occupying the position, as a workaround for certain hiring practices. [2] As part of a civil service reform initiative beginning in 2013, 700 job titles were eliminated. [3]
The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [8]To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures.
The SEC will need to approve S-1 forms from the money managers — filings needed to publicly offer new securities — for the actual funds to begin trading. The regulator gave no indication of ...
Annual report of employee stock purchase, savings and similar plans (and amendment thereto) 11-KT, 11-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto) 13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto) 13F-NT, 13F-NT/A
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Form 4 is a United States SEC filing that relates to insider trading.Every director, officer and owner of more than 10 percent of a class of a particular company's equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security.
The controller’s office has yet to publish a letter with instructions for how to implement raises for the bargaining units represented by the largest union in state civil service, SEIU Local ...