SEC Reopens in New Office In Downtown New York.Reports that the United States Securities and Exchange Commission reopened its office in the Woolworth Building in New York City on October 15, 2001.EBSCO_bspWall Street Journal Eastern Edition...
"We are continuing to hold accountable financial institutions that engaged in abusive ADR practices," said Sanjay Wadhwa, senior associate director of SEC's New York regional office. "Our action conveys the message that an entity like Merrill may not avoid liability by using another broker to obt...
New York Regional Office, provided an update on the Task Force’s churning and excessive trading initiatives. The Task Force was established in order to put a more intense focus on broker-dealers, especially in retail space but unlike an established Unit within the Commission, the Task Force is...
The address of the Issuer’s principal executive office is 1617 Sixth Avenue, Seattle, Washington, 98101. Item 2. Identity and Background. (a)(f) This Schedule 13D is being filed by El Puerto de Liverpool, S.A.B. de C.V., a corporation formed under the laws of Mexico (“...
reasonable grounds to believe that all the requirements for filing on Form F-6 are met and has duly caused this registration statement on Form F-6 to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York, on August 20, 2020....
SEC FILE NUMBER: FILM NUMBER: 10-K/A 1934 Act 000-01684 07801222 BUSINESS ADDRESS: STREET 1: STREET 2: CITY: STATE: ZIP: BUSINESS PHONE: 1 FLOWERFIELD SUITE 24 ST JAMES NY 11780 6315845400 MAIL ADDRESS: STREET 1: 1 FLOWERFIELD STREET 2: SUITE 24 CITY: ST JAMES STATE: NY ZIP: 1178...
“affiliate” has the meaning set forth in Rule 405 under the Securities Act; (ii) the term “business day” means any day other than a day on which banks are permitted or required to be closed in New York City; and (iii) the term “subsidiary” has the meaning set forth in Rule ...
“Business Day” means a day other than a Saturday, Sunday or a day on which banking institutions or trust companies in The City of New York, Hong Kong or Beijing are authorized or obligated by law, regulation or executive order to remain closed. “Comparable Treasury Issue” means the Un...
In August 2022, the company received a letter from the San Bernardino County District Attorney’s Office, written in cooperation with certain other California District Attorneys and the Los Angeles City Attorney, notifying the company of an investigation into alleged violations with respect to undergrou...
The principal executive office of the depositary is located at 60 Wall Street, New York, NY 10005, USA. The Direct Registration System, or DRS, is a system administered by The Depository Trust Company, or DTC, pursuant to which the depositary may register the ownership of uncertificated ...