which established the "Howey test" to determine if a transaction qualifies as an "investment contract" and thus a security under the Securities Act of 1933. According to this test, an asset is a security if all the following apply:
The case centered on George Jarkesy, ahedge fund manageraccused of securities fraud. Before the Dodd-Frank Act, the SEC could only pursue administrative proceedings against entities it directly regulated, such as broker-dealers and investment advisers. Dodd-Frank expanded the agency's authority, allo...
Only "large accelerated filers" and "accelerated filers" must disclose Scope 1 and 2 emissions. These categories include corporations with an aggregate global market value of $700 million or more, and $75 million or more, the SEC said. Challenges could be forthcoming The rule comes as the Bid...
aнастя,аваше (nastya),和您 [translate] athe act also required the sec to implement many changes in the way corporations are governed 也需要的行动实施在方式公司上的许多变化的秒被治理 [translate] 英语翻译 日语翻译 韩语翻译 德语翻译 法语翻译 俄语翻译 阿拉伯语翻译 西班牙语翻译 葡萄牙...
SEC Section 16 of The Securities Exchange Act of 1934 requires corporate insiders to publicly disclose their company affiliations, material changes in their holdings or unreported insider transactions through various regulatory filings with the SEC. Specifically, Section 16 mandates that Forms 3, 4 and...
that number of shares which are the subject of option grants made, or were purchased pursuant to the exercise of options that were granted, to employees, officers directors, or consultants of the Company or Related Corporations prior to the date of the adoption of this plan by the Company's...
Informing Shareholders: Providing a Roadmap for the SEC to Act to Require Public Corporations to Disclose Political SpendingCitizens UnitedSECPolitical SpendingDisclosureThe Supreme Court erred by not revisiting its holding in Citizens United v. Federal Election Commission (FEC). I made this argument ...
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has bee...
Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3–2(b) under the Securities Exchange Act of 1934. Yes¨Nox ...
The CAPITAL MARKETS group underwrites, trades and distributes a wide range of securities (including bank-eligible securities and, to a limited extent, bank-ineligible securities as authorized by the Board of Governors of the Federal Reserve System under Section 20 of the Glass-Steagall...