Securities Act of 1933Securities industry – Law and legislationSecuritiesUnited States v. NaftalinTouche Ross & Co. v. RedingtonSecurities and Exchange CommissionSecurities regulationSection 17(a)In this article, the author analyzes two recent Supreme Court decisions involving the securities acts. The ...
SEC 17a-4, SEC 18a-6, FINRA 4511, & CFTC 1.31 (US) SEC Regulation SCI (US) Shared Assessments SOX (US) Healthcare & life sciences Media & entertainment Telecommunications Regional General Data Protection Regulation (GDPR) California Consumer Privacy Act (CCPA) Virginia Consumer Data Protection ...
Securities Exchange Act of 1934 and Investment Company Act of 1940; Order Under Section 17a and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under S ...
The SEC’s complaint specifically alleges that Friehling and F&H violated section 17(a) of the Securities Act, violated and aided and abetted violations of section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and aided and abetted violations of sections 206(1) and 206(2) of the...
(d) any domestic clearing agency registered with the Securities and Exchange Commission under Section17A of the Securities Exchange Act of 1934, as amended (or as may otherwise be authorized by the Securities and Exchange Commission to serve in the capacity of depository or clearing agent for the...
Text of the Proposed Rule Change (a) (Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (the "Act")1 and Rule 19b-4 thereunder,2 New York Stock Exchange LLC ("NYSE" or the "Exchange") proposes to adopt new Section 303A.14 of the NYSE...
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 OR 来自 Citeseer 喜欢 0 阅读量: 53 作者: I Part 摘要: For the Transition Period from to Commission File No. 000-22688 MACROMEDIA, INC. (Exact name of registrant as specified in its charter) ...
The Current AS 2405 mirrors in substantial part Section 10A of the Securities Exchange Act of 1934, which requires the auditor to perform “procedures designed to provide reasonable assurance of detecting illegal acts that would have a direct and material effect on the determination of financial stat...
To be successful in a civil action under Section 11 of the Securities Act of 1933 concerning liability for a misleading registration statement, the plaintiff must prove Defendant's intent to deceive Plaintiff's reliance on the registration statement A. Yes Yes B. Yes No C. No Yes D. No No...
Miami International Securities Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 来自 EBSCO 喜欢 0 阅读量: 27 作者: Elizabeth M. Murphy 摘要: The article reports a notice of application filing ...