SUMMARY: The Securities and Exchange Commission is proposing amendments to the disclosure requirements forexecutive and director compensation,related party transactions, directorindependence and other corporategovernance matters and securityownership of officers and directors.These amendments would apply to...
Summary: The US Securities and Exchange Commission (SEC) has rejected applications for nine bitcoin-based exchange-traded funds (ETF) from three separate companies, … SEC rejects proposals for bitcoin exchange-trade funds M2 EQUITYBITES-November 16, 2017-Obsidian Energy to pay USD8.5m in penalty...
U.s. Securities and Exchange Commission and Client Personnel A brief summary of the case is‚ Health Management‚ Inc.‚ a pharmaceutical distributor had a way of calculating their Allowance of doubtful accounts in a way that was not understood bySecuritiesandExchangeCommissionand misunderstood ...
SECURITIESANDEXCHANGECOMMISSION-edgar.sec.govSECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 28895; File No. 812-13535] American Capital, Ltd.; Notice of Application September 3, 2009 Agency: Securities and Exchange Commission (the “Commission”). Action: Notice of an ...
EXECUTIVE SUMMARY The U.S. Securities and Exchange Commission (SEC) is pleased to submit this budget request for fiscal year (FY) 2012 to support the agency’s work to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. This request would provide ...
For a detailed overview of the rating process for mortgage-backed securities, see Staff of the Office of Compliance Inspections and Examinations, Division of Trading and Markets and Office of Economic Analysis, U.S. Securities and Exchange Commission, Summary Report of Issues Identified in the ...
AGENCY:SecuritiesandExchangeCommission. ACTION:Finalrule. SUMMARY:TheSecuritiesandExchangeCommission(“Commission”)isadoptingnewRule 13h-1andForm13HunderSection13(h)oftheSecuritiesExchangeActof1934(“Exchange Act”)toassisttheCommissioninbothidentifying,andobtainingtradinginformationon,market ...
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (''Act''),1 and Rule 19b–4 thereunder,2 notice is hereby given that on June 29, 2023, The Nasdaq Stock Market LLC (''Nasdaq'' or ''Exchange'') filed with the Securities and Exchange Commission (''SEC'' or ...
1, be, and hereby is, approved. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.339 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–19729 Filed 9–12–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No...
s information systems and information that resides on them — and the Commission indicates that a “broker-dealer or transfer agent that implements these requirements of the Exchange Act Cybersecurity Proposal should generally satisfy the proposed requirements of...