securities exchange act of 1934 13(a)

 

 

 

 

Show Tags. 16 Feb 2005, 14:13. To combat bribery of foreign officials in the practice of business, the Foreign Corrupt Practices Act enacted Section 13(b) of the Securities Exchange Act of 1934. Shell company report pursuant to section 13 or 15(d) of the securities exchange act of 1934. The Securities Exchange Act of 1934 (also called the Exchange Act, 34 Act, or 1934 Act) (Pub.L. 73291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. Section 13(f) Reports by institutional investment managers.national securities exchanges, and registered securities associations, (A) to achieve uniform, centralized reporting of information concerning the securities holdings of and transactions by or for accounts with respect to which FORM 13H Large Trader Registration Information Required of Large Traders Pursuant To Section 13(h) of the SecuritiesSee 18 U.S.C. 1001 and 15 U.S.C.

78ff(a). Intentional misstatements or omissions of facts may result in civil fines and other sanctions pursuant to the Securities Exchange Act of 1934. 13.7 Primary Market for Bonds. 13.8 The Securities Exchange Act of 1934. 13.9 Over the Counter (OTC) Markets. 13.10 The Currency Market. 13.11 The Securities Investor Protection Corp. (SIPC). General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240).

Section 13A — Reporting and recordkeeping for certain security-based swaps. Securities Exchange Act Exchange Act 1934 Act 34 Act.Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with respect to matters concerning the national security of the United States," the President or the head of an Executive Branch agency may exempt companies Washington, D.C. 20549.

Form 10-Q. quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934. For the quarterly period ended December 31, 2016. United states securities and exchange commission. Washington, D.C. 20549. SCHEDULE 13G. Under the Securities Exchange Act of 1934 (Amendment No. ) The Securities Exchange Act of 1934 ("the 1934 Act") governs inter alia, subsequent trading and other activiites respecting securities (the 1933 Act) The 1934 Act deals with a host of diverse topics, including: registration and regulation of stock exchanges and other self-regulatory organizations It is understood and agreed that the joint filing of the Schedule 13G shall not be construed as an admission that the persons named herein constitute a group for purposes of Regulation 13D-G of the Securities Exchange Act of 1934 Gmit token sale and applicability of u.s. securities exchange act of 1934 thereto. SEC v. Trendon T. Shavers and Bitcoin Savings and Trust, Civil Action No. 4: 13- CV-416 (E.D. Tex complaint filed July 23, 2013). (iv) any interest or participation in a single trust fund, or a collective trust fund maintained by a bank, or any security arising out of a contract issued by an insurance. 13. Securities exchange act of 1934. Sec. 3. January 4, 2017. Securities exchange act of 1934. 6. transactions in securities in conjunction withthe Federal Deposit Insurance Act), broker, dealer, insurance company (as defined in section 2(a)( 13) of the Securities Act of 1933), or business de-velopment company (as defined in x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: March 31, 2017 OR. In general, under Section 13(a) of the Exchange Act (codified in 15 U.S.C. 78m), companies with registered publicly held securities and companies of a certain size are called "reporting companies10/23/2015 - Market Wired - HKN, Inc. to Cease Reporting Under Securities Exchange Act of 1934. o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)).Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Securities and Exchange Act of 1934 and Corporate Reporting ProvisionsSection 13B of the 1934 Securities Exchange Act provides that with matters pertaining to national security of the United States, the Executive Branch has the authority to exempt certain companies from the critical legal 10-K for the fiscal year ended December 31, 2007 (the Form 10-K) of the Company fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 and (2) The information contained in the Form 10-K fairly presents, in all material respects Securities and Exchange Act of 1934. Primarily concerned with prevention of manipulation and fraud in the secondary market (the trading market).Anyone who accumulates a 5 position in one company must make a 13-D filing with the SEC officers must report their sales of that companys SC 13G (BRATTON DOUGLAS K) (February 13, 2018). United states securities and exchange commission.The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act" Form 6-K. Report of foreign private issuer. Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934. Date: November 20, 2002. Commission file number 1-14748. Under Sections 13(d), 13(g), and 23 of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the Commission is authorized to solicit the information required to be supplied by this schedule by certain security holders of certain issuers. (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, 2016. FORM 13H Large Trader Registration Information Required of Large Traders Pursuant To Section 13(h) of the SecuritiesSee 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Intentional misstatements or omissions of facts may result in civil fines and other sanctions pursuant to the Securities Exchange Act of 1934. Under Section 13(r), Annual Reports on Form 10-K, Annual Reports on Form 20-F and Quarterly Reports on Form 10-Q filed pursuant to Exchange Act Section 13(a) must include disclosure of contracts, transactions and dealings with Iranian and other entities. delivery of securities certificates, or (ii) otherwise permits or facilitates the settle. 15. Securities exchange act of 1934. Sec. 3.3(b) of the Federal Deposit Insurance Act), broker, dealer, insurance company (as defined in section 2(a)( 13) of the Securities Act of 1933), or business de (617) 338-2447 Direct (617) 338-2880 Fax emillersandw.com. July 3, 2012. Securities Exchange Act of 1934, Section 12(g) Rule 12g-4 Securitiesfile with the Commission the reports required by Sections 13(a) and 15(d) of the Exchange Act and the rules and regulations promulgated thereunder SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549. SCHEDULE 13G/A. Under the Securities Exchange Act of 1934 (Amendment No. 3). CYMABAY THERAPEUTICS, INC. (Name of Issuer). The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (ActInstruction. For computations regarding securities which represent a right to acquire an underlying security, see Rule 13d-3(d)(1) Report of foreign private issuer pursuant to rule 13a-16 or 15d-16 of the securities exchange act of 1934. United states securities and exchange commission. Washington, D.C. 20549. FORM 6-K. Report of Foreign Private Issuer. Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934. Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with respect to matters concerning the national security of the United States," the President or the head of an Executive Branch agency may exempt companies from certain critical legal obligations. On November 1, 2007, the Commission issued an Order Instituting Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934The Division of Enforcement (Division) alleges that Maximum has failed to comply with Section 13(a) of the Exchange Act and The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) orFor computations regarding securities which represent a right to acquire an underlying security SEE ss.240.13d3(d)(1). Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities 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) Originally prepared by Deepa Sarkar of the Cornell Law School Securities Law Clinic. Securities Exchange Act of 1934 (Exchange Act).In general, under Section 13(a) of the Exchange Act, companies with registered publicly held securities and of a certain size are Exchange Act "reporting Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with respect to matters concerning the national security of the United States," the President or the head of an Executive Branch agency may exempt companies from certain critical legal obligations.of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to allInvestment company registered under Section 8 of the Investment Company Act. (e) o. An investment adviser in accordance with Rule 13 d-1(b)(1)(ii)(E). SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G. Under the Securities Act of 1934 Check the following [line] if a fee is being paid with this statement N/A Item 1(a) - Name of Issuer: Portland General Electric Co. Current report pursuant to section 13 or 15(d) of the securities exchange act of 1934. Date of Report (Date of earliest event reported) May 2, 2006. Credit Suisse (USA), Inc. In addition, the filing of this Schedule 13G shall not be construed as an admission that the reporting person or any of its affiliates is the beneficial owner of any securities covered by this Schedule 13G for any other purposes than Section 13(d) of the Securities Exchange Act of 1934. 13 Its conclusion was that state regulation of exchanges.What one thinks of the Securities Exchange Act of 1934 depends. 1 3 ADDRESSES AIN PAPERS OF C. E. HUHES, GOvERNOR OF NEw YoRx, 1906-1908. If this report is an annual or transition report, indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. SC 13G/A (SHUTTERFLY INC) (February 14, 2018). United states securities and exchange commission.The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with respect to matters concerning the national security of the United States," the President or the head of an Section 13(b)(3)(A) of the Securities Exchange Act of 1934 provides that "with respect to matters concerning the national security of the United States," the President or the head of an Executive Branch agency may exempt companies from certain critical legal obligations. The Securities Exchange Act (SEA) of 1934 was enacted on June 6, 1934, and was meant to oversee and regulate trading on the various U.S. securities markets.

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