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Securities Act Updating Disclosure Section 7 Regulation FD Item 7.01 Regulation FD Disclosure Section 8 Other Events Item 8.01 Other Events (The registrant can use this Item to report events that are not specifically called for by Form 8-K, that the registrant considers to be of importance to security holders.) Section 9
As described in Section 1.2 above, the SEC has stated "tentative net capital" levels at the CSE Brokers remained stable, or in some cases increased, after the 2004 rule change. [85] CSE Brokers, however, could be permitted to include in net capital computations some "less liquid" securities that were excluded before the 2004 rule change. [86]
The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A.
The U.S. Securities and Exchange Commission (SEC) is examining whether mortgage lender Better.com and the special purpose acquisition company it has agreed to merge with, Aurora Acquisition Corp ...
[5] Many cities and countries perform a violation notice on construction projects if/when they are not safe, are without a (proper) permit by which the construction can be approved or if the site contractors violate the license for which they are performing the construction work, for which case these licenses and permits may be revoked (taken ...
The notice informs the people or the firm in question that the SEC has concluded that they should be charged with violation of the securities laws. [1] The notice indicates that the SEC staff has determined it may bring a civil action against a person or firm, and provides the person or firm with the opportunity to provide information as to why ...
Section 4(a)(5) of the '33 Act exempts from registration offers and sales of securities to accredited investors when the total offering price is less than $5 million and no public solicitation or advertising is made. However, Regulation D does not address the offering of securities under this section of the '33 Act.
SEC Rule 10b-5, codified at 17 CFR 240.10b-5, is one of the most important rules targeting securities fraud in the United States. It was promulgated by the U.S. Securities and Exchange Commission (SEC), pursuant to its authority granted under § 10(b) of the Securities Exchange Act of 1934 . [ 1 ]
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