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In 2015, the New York Stock Exchange and the National Investor Relations Institute submitted a petition to the SEC supporting a requirement for disclosure of short positions on Form 13F. [ 6 ] Form 13F is required to be filed within 45 days of the end of a calendar quarter, or if that day falls on a Saturday, Sunday or holiday, the deadline is ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The article quoted a source claiming that "Reports of device-related injuries soared to 900,000 in 2023, up from about 190,000 in 2012." The article also reported the sources of income in the Shuren family, based on a financial disclosure form filed by Jeffery Shuren in 2018: "Ms. Shuren earned from $1 million to $5 million ...
As a counterbalance to the new burdens placed on employees, Executive Order 12968 detailed that an applicant for a security clearance had a right to a hearing and to a written explanation and documentation if denied. [1] Civil liberties groups expressed concerns about the intrusiveness of the disclosure requirements. [1]
The New York State Legislature unanimously confirmed Benjamin M. Lawsky on May 24, 2011, as New York State's first Superintendent of Financial Services. [9] From May 24, 2011, until October 3, 2011, Lawsky also was appointed, and served as, Acting Superintendent of Banks for the former New York State Banking Department. [9]
The Banking Board was established in 1932 by N.Y.S. Banking Law § 13 and 14, and was a quasi-legislative body. The Banking Board was created to advise and cooperate with the Banking Department in the formulation of banking standards and regulations and to exercise power to approve or disapprove the issuance of bank charters and licenses and the establishment of branch banks.