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The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
Schedule 13D, within 10 days anyone who acquires beneficial ownership of more than 5% of any class of publicly traded securities in a public company must tell the SEC. SEA 1934 §13 or 15(d) requires an annual report; Form 10-K, the basic information required by the US Securities and Exchange Commission as an annual report
On April 2, the Securities and Exchange Commission (SEC) published final rules to modernize and simplify certain disclosure requirements within Regulation S-K pursuant to the Fixing America’s ...
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
In a 3-0 decision on Wednesday, the New Orleans-based 5th U.S. Circuit Court of Appeals ruled in favor of six private equity and hedge fund groups, finding the SEC exceeded its authority by ...
Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, among ...
Pursuant to certain statutes, state agencies have promulgated regulations, also known as administrative law.The New Jersey Register is the official journal of state agency rulemaking containing the full text of agency proposed and adopted rules, notices of public hearings, gubernatorial orders, and agency notices of public interest. [6]