Search results with tag "Securities and exchange"
UNITED STATES OF AMERICA SECURITIES AND EXCHANGE ...
cipperman.comThe Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 8A of the Securities Act of 1933 (“Securities Act”) and Sections
FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE …
berkshirehathaway.comunited states securities and exchange commission washington, d.c. 20549 (mark one) ☒ quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the quarterly period ended march 31, 2021 or ☐ transition report pursuant to section 13 or 15(d) of the securities exchange act of 1934
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
www.vale.comAs filed with the Securities and Exchange Commission on April 13, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 20-F
UNITED STATES SECURITIES AND EXCHANGE …
ir.homedepot.comUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 31, 2021 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES …
UNITED STATES SECURITIES AND EXCHANGE …
www.vale.comAs filed with the Securities and Exchange Commission on April 10, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington…
REPUBLIC ACT N 11232 - Securities and Exchange …
www.sec.gov.phCODE OF THE PHILIPPINES ... Sale, lease, exchange, mortgage, pledge, or other disposition of all or substantially all of the corporate property; ... and conditions shall be effective upon filing of a certificate thereof with the Securities and Exchange Commission, hereinafter referred to as the “Commission”. ...
UNITED STATES SECURITIES AND EXCHANGE …
d18rn0p25nwr6d.cloudfront.netRule 10A-3 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), is financially literate and has accounting or related financial management expertise, as such qualifications are defined under the rules of the NYSE, and that Mark Mullen, Chair of the Audit Committee, is an “audit committee
UNITED STATES SECURITIES AND EXCHANGE …
www.berkshirehathaway.comunited states securities and exchange commission washington, d.c. 20549 form 10-k annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934
UNITED STATES SECURITIES AND EXCHANGE …
www.berkshirehathaway.comunited states securities and exchange commission washington, d.c. 20549 form 10-q (mark one) ☒ quarterly report pursuant to section 13 or 15(d) of the securities ...
Republic of the Philippines SECURITIES AND EXCHANGE ...
www.sec.gov.phwith the Commission, or (b) have assets in excess of Fifty Million Pesos and at least two hundred (200) stockholders who own at least one hundred (100) shares each of equity securities, or (c) whose equity securities are listed on an Exchange; or (d) are grantees of secondary licenses from the Commission. Article 1: Definition of Terms
Committed to our Vision & Values and Focused on our Goals
www08.wellsfargomedia.comIn 2017 the Board engaged Mary Jo White, a senior partner at Debevoise & Plimpton LLP and former Chair of the Securities and Exchange Commission, to facilitate its self -evaluation, which together with feedback from investors and other stakeholders, helped inform many of the Board’s changes . Board Self-Evaluation Focus Topics Board composition,
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
UNITED STATES OF AMERICA SECURITIES AND EXCHANGE …
www.sec.govunited states of america before the securities and exchange commission investment company act of 1940 release no. 30557 / june 13, 2013 administrative proceeding
Alternative Investment Funds in India Regulatory …
www.wirc-icai.orgThe Securities and Exchange Board of India (Alternative Investment Funds) Regulations, 2012 û AIF Regulations ü were issued with effect from May 21, 2012 by the Securities and Exchange ... Companies Act; (c) a limited liability partnership; or (d) a body corporate . Trust is preferred .
Overview of the Most Frequent Advisory Fee and Expense In ...
www.sec.govThe Securities and Exchange Commission (the “SEC” or the “Commission”) has expressed no view on the contents of this Risk Alert. This document was prepared by SEC staff and is not legal advice. 1 This Risk Alert reflects issues identified in deficiency letters from over 1,500 adviser examinations completed during the past two years.
UNITED STATES SECURITIES AND EXCHANGE …
www.sec.govSEC 2052 (8/17) ii A Registrant is required to disclose the information specified by Form N-1A, and the Commission will make this information public.
Key. SEC Financial Responsibility Rules
www.sec.govAppendix 11 Key. SEC Financial Responsibility Rules The SEC Net Capital Rule (Rule 15c3-1) Background The Securities and Exchange Commission's (SEC)1 uniform net capital rule (15c3-1) and customer protection rule (15c3-3) form the foundation of the
UNITED STATES DISTRICT COURT DISTRICT OF …
dig.abclocal.go.comunited states district court district of western louisiana shreveport division securities and exchange commission, case no. plaintiff, versus
UNITED STATES DISTRICT COURT FOR THE …
www.citigroupfairfund.com1 . united states district court . for the district of columbia . securities and exchange
UNITED STATES DISTRICT COURT - …
www.citigroupfairfund.comunited states district court . for the district of columbia . securities and exchange . commission,
SECURITIES AND EXCHANGE COMMISSION 17 CFR …
www.sec.govSECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 240 and 249b [Release No. 34-67716; File No. S7-40-10] RIN 3235-AK84 . CONFLICT MINERALS . AGENCY: Securities and Exchange Commission.
SECURITIES AND EXCHANGE COMMISSION
d18rn0p25nwr6d.cloudfront.netSECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ... The board of directors of the Company has unanimously approved and adopted the Transaction Agreement and has agreed, subject to certain exceptions set forth in the Transaction Agreement, to recommend that the Company’s shareholders approve the allotment and issuance of the New ...
Securities and Exchange Commission Division of Enforcement
www.sec.gov1. Introduction 1.1 Purpose and Scope The Enforcement Manual (“Manual”) is a reference for staff in the Division of Enforcement (“Division” or “Enforcement”) of the U.S. Securities and Exchange Commission
SECURITIES AND EXCHANGE BOARD OF INDIA …
www.sebi.gov.insecurities and exchange board of india (issue of capital and disclosure requirements) regulations, 2009 chapter / schedule no. …
SECURITIES AND EXCHANGE COMMISSION - sec.gov
www.sec.govThe Proposal requests that the board make all possible lawful efforts to implement ... (1 O) under the Securities Exchange Act of 1934, as amended (the "Exchange Act'), the Company omits the enclosed shareholder proposal (the "Proposaf) and supporting statement (the …
SECURITIES AND EXCHANGE COMMISSION - SEC.gov
www.sec.gov2 FOR FURTHER INFORMATION CONTACT: Amy M. Starr, Daniel Horwood, or Anne Nguyen, at (202) 551-3200, in the Division of Corporation Finance, U.S. Securities and Exchange Commission, 100 F Street, NE, Washington DC 20549 or, with respect to
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