Search results with tag "Exchange act"
APPLICATION FOR, AND AMENDMENTS TO APPLICATION …
www.sec.govForm 1 requires an exchange seeking to register as a national securities exchange or seeking an exemption from registration as a national securities exchange pursuant to Section 5 of the Exchange Act to provide the Securities and Exchange Commission (“SEC” or “Commission”) with certain information regarding the operation of the exchange.
Securities Exchange Act of 1934 - New York Stock Exchange
www.nyse.com1 SECURITIES EXCHANGE ACT OF 1934 [AS AMENDED THROUGHP.L. 112-158, APPROVEDAUGUST10, 2012] TABLE OF CONTENTS TITLEI—REGULATION OFSECURITIESEXCHANGES. Sec. 1. Short Title. Sec. 2. Necessity for Regulation As Provided in This Title. Sec. 3.
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART …
www.sec.govSecurities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. SUPPLEMENTARY INFORMATION : The amendments to Rules 13a-15(c) 1 and 15d-15(c) 2 under the Securities Exchange Act of 1934 3 (the “Exchange Act”), which
Report of Investigation Pursuant to Section 21(a) of the ...
www.sec.govJul 25, 2017 · Act”) and the Securities Exchange Act of 1934 (“Exchange Act”). 1. The Commission deems it appropriate and in the public interest to issue this report of investigation (“Report”) pursuant to . 1 This Report does not analyze the question whether …
Sec.
www.sec.gov§ 240.21F-1 General. Section 21F of the Securities Exchange Act of 1934 (“Exchange Act”) (15 U.S.C. 78u-6), entitled “Securities Whistleblower Incentives and Protection,” requires the
UNITED STATES OF AMERICA before the SECURITIES AND ...
www.sec.govCease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, as set forth below (“Order”).1 III.