Search for: "Securities and Exchange Commission"
Results 2981 - 3000
of 22,358
Sorted by Relevance
|
Sort by Date
25 Sep 2008, 3:57 pm
Even so, it was among nine companies added Thursday to the Securities and Exchange Commission’s fast-growing [...] [read post]
12 Aug 2020, 10:00 pm
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery framework—for annual prospectus updates and annual and semi-annual shareholder reports—with streamlined shareholder reports delivered semi-annually that contain simplified information in a user-friendly format. [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
27 Oct 2021, 10:00 pm
The Division of Examinations staff of the US Securities and Exchange Commission (SEC) published a risk alert on October 26, 2021, titled “Observations from Examinations in the Registered Investment Company Initiatives,” which summarized the observations of the staff coming out of a series of examinations from 2018 and 2019 that focused on mutual funds and exchange-traded funds (ETFs) and, specifically, on certain compliance areas that may impact retail… [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
23 Oct 2007, 7:27 am
The Securities and Exchange Commission (SEC) recently approved a controversial rule proposal that will add significant protections for investors purchasing or exchanging deferred variable annuities. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
16 Mar 2010, 8:11 pm
Securities and Exchange Commission said. [read post]
30 Aug 2021, 8:00 am
The Securities and Exchange Commission recently approved new Nasdaq rules requiring companies that list shares on its exchange to meet certain race and gender standards. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
7 Jun 2023, 10:00 pm
The New York Stock Exchange (NYSE) and Nasdaq , on June 5 and June 6, respectively, amended the proposed listing standards they previously submitted to the US Securities and Exchange Commission (SEC) to extend the compliance deadline. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
20 Jun 2007, 4:46 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] Wednesday moved to ease accounting procedures [meeting agenda; recorded video, (00:41:15) WMV] required for foreign companies trading on US exchanges. [read post]
27 Aug 2024, 10:00 pm
The Securities and Futures Commission (the SFC) and the Stock Exchange of Hong Kong (HKEX or the Exchange) jointly announced on 23 August 2024 temporary modifications (the Temporary Modifications) to certain requirements relating to the listing of Specialist Technology Companies (STCs) and De-SPAC Transactions. [read post]
14 Oct 2016, 3:27 pm
[JURIST] The US Securities and Exchange Commission (SEC) [official website] set new rules [press release] on Thursday establishing new liquidation risk management rules for mutual funds and exchange-traded funds (ETF). [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
21 Feb 2023, 10:00 pm
As many are aware, Congress passed its own version of the US Securities and Exchange Commission (SEC) staff’s mergers and acquisitions (M&A) broker no-action letter in December 2022, creating a new exemption from broker registration in Section 15(b)(13) of the Exchange Act that largely tracks the SEC staff’s no-action letter, with one important tweak. [read post]
23 Mar 2016, 1:51 pm
The subsidiary’s Securities and Exchange Commission filing says it expects to raise $100 million in proposed share sales. [read post]
