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A proxy statement is a statement required of a firm when soliciting shareholder votes. [1]: 10 This statement is filed in advance of the annual meeting.The firm needs to file a proxy statement, otherwise known as a Form DEF 14A (Definitive Proxy Statement), with the U.S. Securities and Exchange Commission.
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 ...
[91]: 10–11 The proxy card may specify how shares are to be voted or may simply give the proxy agent discretion to decide how the shares are to be voted. [91]: 10–11 The Securities Exchange Act of 1934 transferred this responsibility from the FTC to the SEC. The Securities Exchange Act of 1934 also gave the SEC the power to regulate the ...
By Patrick Gadson, Partner, Vinson & Elkins After six years of starts and stops, the Securities and Exchange Commission has voted to adopt new rules ushering in universal proxy cards in contested ...
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).
The Securities and Exchange Commission announced Thursday that it was changing federal proxy rules to make it easier for companies' shareholders to nominate and elect directors to their boards.
The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings.
Coinbase, in a new filing Friday that seeks to dismiss a SEC lawsuit entirely, argues digital currencies sold on its exchange are more like baseball cards than investment securities.