Conformed to Federal Register version SECURITIES AND ...
Statutory Authority ..... 377. 6 I. INTRODUCTION The Commission is adopting rule 18f-4 under the Investment Company Act to provide an ... Under this new framework, funds using derivatives generally will have to adopt a derivatives risk management program that a derivatives risk manager administers and that the
Download Conformed to Federal Register version SECURITIES AND ...
Information
Domain:
Source:
Link to this page:
Documents from same domain
A Plain English Handbook - SEC
www.sec.govA Plain English Handbook How to create clear SEC disclosure documents By the Office of Investor Education and Assistance . U.S. Securities and Exchange Commission
SECURITIES AND EXCHANGE COMMISSION 17 CFR …
www.sec.govCompliance Date: Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014.
Sarbanes-Oxley Sections 302 & 404 A White Paper …
www.sec.govPage 1 EXECUTIVE SUMMARY The Sarbanes-Oxley Act of 2002 (“SOX”) imposes significant new requirements on companies listed on U.S. stock exchanges.
SEC Final Rule: Modernization of Oil and Gas …
www.sec.govXIII. Final Regulatory Flexibility Analysis A. Reasons for, and Objectives of, the New Rules and Amendments B. Significant Issues Raised by Commenters
Quick Reference Guide EDGAR Access Codes - …
www.sec.govQuick Reference Guide EDGAR Access Codes 1 The term “Access Codes” refers to the set of codes (PMAC, CCC, and password) filers need in order to
Final Rule: Acceptance From Foreign Private Issuers …
www.sec.govI. EXECUTI VE SUMMARY A. Proposed Amendments B. Overview of Comments Received C. Summary of Final Amendments II. ACCEPTANCE OF IFRS FINANCIAL STATEMENTS FROM FOREIGN
Final Rule: Enhanced Disclosure and New …
www.sec.govsecurities and exchange commission 17 cfr parts 230, 232, 239, and 274 [release nos. 33-8998; ic-28584; file no. s7-28-07] rin 3235-aj44 enhanced disclosure and new prospectus delivery option
IM uidance Update - SEC.gov
www.sec.govIM GUIDANCE UPDATE 2 systems become compromised; and (5) the effectiveness of the governance structure for the management of cybersecurity risk.
UNITED STATES OMB APPROVAL SECURITIES AND …
www.sec.govunited states securities and exchange commission washington, d.c. 20549 . form 1-a regulation a offering statement under the securities act of 1933
Form 10-Q - SEC.gov
www.sec.govunited states securities and exchange commission washington, d.c. 20549 . form 10-q . omb approval
Related documents
The Australian Consumer Law
consumerlaw.gov.auThe Australian Consumer Law – A framework overview v FOREWORD The Australian Consumer Law (ACL) is a key part of the deregulatory reforms of the Council of Australian Governments (COAG) to deliver a seamless national economy.
Governance Document Management Framework
www.cdu.edu.auGovernance Documentation Management Framework Version 2.00 Contact Officer: Director, Strategic Services and Governance Page 2 of 11 Overview . Charles Darwin University operates in an ever-changing environment. To do this, it requires a robust Governance Document Management Framework to support the pursuit of its objectives. The framework:
Human rights framework for restraint
www.equalityhumanrights.com5. The legal framework may include relevant statutory provisions, codes of practice, official guidance, policies and equality and human rights legislation. 14 Example: The ‘Mental Health Act 1983: Code of Practice’ statutory guidance and Department of Health policy guidance, ‘Positive and Proactive Care; reducing the