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Qualifications and Reports of Accountants (Rules 2-01 to 2-07) After laying out some basic and important definitions in Rule 1-02, Regulation S-X kicks off in Rule 2-01 (Qualifications of Accountants) by considering accountants and auditors and states who is acceptable to the SEC to act as such. Accountants and auditors must be properly ...
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
Rule 504 exempts SEC registration of a nonpublic issuer of $1 million or less in securities within a period of one year as long as the issuer discloses the relevant information required by state law. Rule 504 also allows general selling efforts, has no limit on how many purchasers, and purchasers do not need specific qualifications.
The SEC voted 3-2 to adopt the rule, with Democratic-appointed commissioners in favor and Republican-appointed commissioners opposed. All three judges involved in Wednesday's decision were ...
Regulation FD (Fair Disclosure), [1] ordinarily referred to as Regulation FD or Reg FD, is a regulation that was promulgated by the U.S. Securities and Exchange Commission (SEC) in August 2000. [2] The regulation is codified as 17 CFR 243.
The Securities Exchange Act of 1934 also gave the SEC the power to regulate the solicitation of proxies, though some of the rules the SEC has since proposed (like the universal proxy) have been controversial. [75]: 4 [76]: 2 The main mission of the FTC is to promote consumer protection and to eradicate anti-competitive business practices. The ...
In a complaint filed in Washington, D.C. federal court, the SEC said Musk violated federal securities law by waiting 11 days too long to disclose his initial purchase of 5% of Twitter's common shares.
The SEC had previously received considerable pushback with more than 24,000 comment letters from companies leading up to this year's announcement of the final rules. Although the SEC rules have ...
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