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Retail investors will soon have newly added protections when trading and investing in over-the-counter (OTC) securities, according to a recent SEC rule change. The changes apply to SEC Rule 15c2 ...
The SEC requires broker-dealers to comply with Exchange Act Rule 15c2-11 before displaying quotes on OTC securities, [24] and requires submission of Form 211 to the FINRA OTC Compliance Unit. [25] In 2019, amendments were proposed to 15c2-11, which had not been significantly amended since 1991. [24]
Filing of Form 15c2-11 to Enhance Transparency and Compliance: The company has filed Form 15c2-11 with the U.S. Securities and Exchange Commission (SEC), marking a ...
EMMA also is the central information utility through which municipal securities disclosures mandated by the Securities and Exchange Commission (SEC) through its Rule 15c2-12 are made freely available to the general public. [9]
Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment) NT 11-K Notice under Rule 12b25 of inability to timely file all or part of a form 11-K NT 15D2 NT 20-F Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F NT 20-F/A NT-NCSR
Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002 ...
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
(Reuters) -A U.S. appeals court threw out a Securities and Exchange Commission rule intended to give investors more transparency into private funds, handing a victory to the nearly $27 trillion ...