Search results with tag "Securities exchange"
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.
Final Rule: Publication or Submission of Quotations ...
www.sec.govThe Securities and Exchange Commission (the “SEC” or the “Commission”) is adopting amendments to Rule 15c2-11 (the “Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), which governs the publication of quotations for securities in a quotation medium other than a national securities exchange, i.e., over-the ...
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
ir.manutd.comunited states securities and exchange commission washington, d.c. 20549 form 20-f (mark one) ☐ registration statement pursuant to section 12(b) or (g) of the securities exchange act of 1934 or ☒ annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the fiscal year ended 30 june 2021 or ☐ transition report pursuant to section 13 or 15(d) of …
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
ttengines.comunited states securities and exchange commission washington d.c. 20549 form 10-k [x] annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the fiscal year ended august 31, 2018 [ ] transition report pursuant to section 13 or 15(d) of the securities exchange act of 1934
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
FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE …
www.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 September 30, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES …
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 …
investors.coca-colacompany.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 December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES …
Table of Contents UNITED STATES SECURITIES AND …
investors.pepsico.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 december 26, 2020 or ☐ transition report pursuant to section 13 or 15(d) of the securities exchange act of 1934
EXHIBIT B AGREEMENT FOR MARKET DATA DISPLAY …
www.tdameritrade.comNov 01, 2013 · A “Securities Professional” includes an individual who, if working in the United States, is: (a) registered or qualified with the Securities and Exchange Commission (the "SEC"), the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
www.broadwayfederalbank.comUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
UNITED STATES SECURITIES AND EXCHANGE COMMISSION …
www.ibm.comunited states securities and exchange commission washington, dc 20549 form 10 - q quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934
UNITED STATES SECURITIES AND EXCHANGE COMMISSION …
www.ibm.comsecurities and exchange commission washington, dc 20549 form 10 - q quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the quarter ended september 30, 2018 1-2360 (commission file number) international business machines corporation
FORM D Securities and Exchange Commission OMB …
www.sec.govactivity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
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 EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018
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 EXCHANGE ACT OF …
FORM 4 UNITED STATES SECURITIES AND EXCHANGE …
ir.tesla.comFORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per …
UNITED STATES SECURITIES AND EXCHANGE …
www.willislease.comunited states securities and exchange commission washington, d.c. 20549 form 8-k current report pursuant to section 13 or 15(d) of the securities exchange act of 1934
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
www.sec.govsecurities and exchange commission. washington, dc 20549. form wb-app. application for award for original information submitted. pursuant to section 21f of the securities exchange act of 1934. omb approval. omb number
UNITED STATES OF AMERICA Before the SECURITIES AND ...
www.sec.govSECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 11018 / December 21, 2021 SECURITIES EXCHANGE ACT OF 1934 Release No. 93838 / December 21, 2021 ADMINISTRATIVE PROCEEDING File No. 3-20687 In the Matter of Nikola Corporation, Respondent. ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
hollysys.investorroom.comJun 30, 2018 · 1 united states securities and exchange commission washington, d.c. 20549 form 20-f (mark one) registration statement pursuant to section 12(b) or (g)of the securities exchange act of 1934
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
Multifamily M Certificates Series M-034 - Freddie Mac
www.freddiemac.comAVAILABLE INFORMATION Our common stock is registered with the U.S. Securities and Exchange Commission (the “SEC”) under the Securities Exchange Act of 1934 (the “Exchange Act”).As a result, we file annual,
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
www.sec.gov§ 249.220f of this chapter), as applicable to the registrant, to register under the Securities Exchange Act of 1934 each class of securities being registered using this form. Aregistrant may provide the Form 10 information in another Commission filing with respect to the registrant.
SWAZILAND GOVERNMENT GAZETTE - rirf.co.sz
www.rirf.co.szS2 PART IV LICENSING OF SECURITIES EXCHANGES 11. Restriction on the right to carry on business of a securities exchange 12. Application for an exchange licence
NET CAPITAL REQUIREMENTS FOR BROKERS AND DEALERS
www.finra.orghas the authority to cancel its registration pursuant to Section 15b-5 of the Securities Exchange Act of 1934, as amended. (SEC Staff to NASD) SEA Rule 15c3-1(a)(1)(i)/01. 12 ... national securities exchange or a facility of a registered national securities association; and (B) any broker or dealer that effects more than ten transactions in any ...
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
www.phihelico.comSecurities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to …
UNITED STATES OF AMERICA Before the …
www.sec.govunited states of america before the securities and exchange commission . securities exchange act of 1934 . release no. 64978 / july 27, …
Report of Investigation Pursuant to Section 21(a) of the ...
www.sec.govJul 25, 2017 · laws. All securities offered and sold in the United States must be registered with the Commission or must qualify for an exemption from the registration requirements. In addition, any entity or person engaging in the activities of an exchange must register as a national securities exchange or operate pursuant to an exemption from such registration.
UNITED STATES OF AMERICA Before the …
www.sec.govunited states of america before the securities and exchange commission securities exchange act of 1934 release no. 79113 / october …
UNITED STATES SECURITIES AND EXCHANGE …
www.sec.govAct registration, respectively) have already been assigned by the and Securities Exchange Commission. Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as by the United States Small such Business Administration, to register under the Investment Company Act and to offer ...
Clearing House Electronic Subregister System
www.asx.com.aua listed company, you must exchange the title or legal ownership of those financial products for money. This exchange is called settlement. For financial products traded on the Australian Securities Exchange, settlement is effected by a world-class computer system called CHESS, which stands for the Clearing House Electronic Subregister System.
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.
Foreign Exchange Management (Transfer or issue of security ...
rbidocs.rbi.org.ina) the scheme has been drawn in terms of regulations issued under the Securities Exchange Board of India Act, 1992; and b) face value of the shares to be allotted under the scheme to the non-resident employees does not exceed 5% of the paid-up capital of the issuing company.
NOTE United States Court of Appeals for the Federal Circuit
www.cafc.uscourts.govNOTE: This disposition is nonprecedential.. United States Court of Appeals for the Federal Circuit _____ CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED, Appellant v. INTERNATIONAL SECURITIES EXCHANGE, LLC,
Securities and Exchange Commission - GPO
www.gpo.govSecurities and Exchange Commission 17 CFR Parts 239, 240, and 249 Exemption From Registration Under Section 12(G) of the Securities Exchange Act of 1934 for Foreign Private Issuers; Final Rule ... listed on a national securities exchange or traded on the OTC Bulletin Board. DATES: Effective Date: October 10, 2008.
SECURITIES AND EXCHANGE COMMISSION - SEC.gov
www.sec.govThe Proposal requests that the board publish a report evaluating the feasibility of ... Under Rule 14a-8(j), we have filed this letter with the Securities and Exchange Commission (the "Commission") no later than eighty (80) calendar days before the Company intends to file its ... Securities Exchange Act of 1934. ~ ...
SECURITIES AND EXCHANGE COMMISSION - s21.q4cdn.com
s21.q4cdn.comsecurities and exchange commission washington, d.c. 20549 form 10-q x quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the quarterly period ended july 1, 2018 or transition report pursuant to section 13
SECURITIES AND EXCHANGE COMMISSION - NYSE
www.nyse.comthe Securities Exchange Act of 1934 (“Exchange Act”)1 and Rule 19b-4 thereunder,2 a proposed rule change to amend the NYSE Listed Company Manual (the “Manual”) to require listed companies to provide notice to the Exchange at least ten minutes before making any public
SECURITIES AND EXCHANGE COMMISSION Form 10-Q
www.unitcorp.comSECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR [ ] TRANSITION REPORT PURSUANT TO …
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 - dtcc.com
www.dtcc.comSecurities Exchange Act of 1934 (“Exchange Act”)1 and Rule 19b-4 thereunder.2 The Proposed Rule Change was published for comment in the Federal Register on February 1, 2018. 3 The Commission received eight comments on the proposal. 4 On March 14, 2018,
SECURITIES AND EXCHANGE COMMISSION - TSMC
www.tsmc.comSecurities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to …
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