Securities Filings

FinCEN SAR Stats Technical Bulletin
Through highlighted hyperlinks in Exhibit 2 (Filings by States & Territories) of each industry type section. Issue 2 - Securities & Futures Firms Filings by Year & Month Filings by States & Territories States & Territories Ranked in Descending Order Suspicious Activities Ranked in Descending ... Get Content Here

Section 16 Insider Reporting And Liability For Short-Swing ...
Section 16 Insider Reporting and Liability for Short-Swing Trading A public company with a class of securities registered under Section 12 or which is subject to Section 15(d) who have failed to make required Section 16 filings on a timely basis, ... Read Here

Regulatory Filings Refresher - ACA Compliance Group - Risk ...
Regulatory Filings Refresher By Jessica Huelbig R egulatory filings may not be the sexiest topic among compliance professionals. Even so, it is important to note that the U.S. Securities and Exchange Commission (“SEC” or “Commission”) has been giving them more attention of late. In ... Content Retrieval

FLORIDA OFFICE OF FINANCIAL REGULATION - Flofr.com
FLORIDA OFFICE OF FINANCIAL REGULATION . www.FLOFR.com. Attention: Issuer Dealers, Canadian Dealers, Broker Dealers (Non-FINRA members), Corresponding Branch Offices and Associated Persons, and Securities Offerings under Chapter 517, Outstanding/Pending filings, ... Fetch Document

Municipal Market Disclosure: CAFR Filings
Municipal Market Disclosure: CAFR Filings. 1. INTRODUCTION. The Securities and Exchange Commission (SEC) Rule 15c2-12 obligates government bond issuers ... Retrieve Content

TOC Mississippi Securities Act Rules
Mississippi Securities Act Rules (Amended and Restated Effective April 2010) Title 1: Secretary of State Part 14: Securities Subchapter 2: FILING OF FEDERAL COVERED SECURITIES 2.25 Notice Filings for Offerings of Investment Company Securities ... Retrieve Content

Frequently Asked Questions About Rule 144 And Rule 145
FREQUENTLY ASKED QUESTIONS ABOUT RULE 144 AND RULE 145 Understanding Rule 144 under the Securities Act of 1933 What is Rule 144? Rule 144 permits public resales of the following, ... Get Content Here

Summary Chart Of Exempt Offering Alternatives
1 Summary Chart of Exempt Offering Alternatives. Below we provide a summary comparison of various securities exemptions. Type of Offering. Dollar Limit ... Retrieve Content

SECURITIES AND EXCHANGE COMMISSION - NYSE
SECURITIES AND EXCHANGE COMMISSION (Release No. 34-81393; File No. SR-NYSE-2017-17) August 14, 2017 Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of ... Access Content

Securities Filings - Jones Day
Why You Should Attend This program will address the principal forms used for filings with the SEC emanating from the new disclosure rules required by the Sarbanes-Oxley Act, ... Fetch Content

Expanding Your Prospect Research: Understanding Securities ...
Expanding Your Prospect Research: Understanding Securities and Exchange Commission (SEC) Filings One source of such information is the U.S. Securities and Exchange Commission (SEC) these filings provide information on the compensation of key executives, ... View Video

Form 10-K - Wikipedia
A Form 10-K is an annual report required by the U Companies with more than $10 million in assets and a class of equity securities that is held by more than 2000 owners free of charge, on its website. Form 10-K, as well as other SEC filings may be searched at the EDGAR database on ... Read Article

RELATIONSHIP WITH STATE SECURITIES LAWS All filings under Regulation A, both public and nonpublic, must be made electronically through EDGAR. Testing the Waters . SEC Regulation A+ Offerings – Comprehensive Overview ... Fetch Content

State Registration Fact Sheet - US Compliance Consultants
ALABAMA State Registration Fact Sheet SEC-registered investment advisers transitioning to state registration must not withdraw their SEC registration until their advisory firm has been notified by the Alabama Securities Commission (or ... Get Content Here

Search Company Filings At SEC.gov - YouTube
This video tutorial takes the viewer through some of the basics of searching for company filings at the Securities & Exchange Commission website. It also dem ... View Video

Guidelines On Submitting A Filing - FINRA.org
Guidelines on Submitting a Filing These guidelines are designed to assist you in making initial submissions in You must enter the combined total of all securities registered. Although some filings include securities not underwritten, you are required to enter ... Access Doc

Regulation S-K - Wikipedia
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 ... Read Article

Form 13F Reporting Requirements - Advisor Solutions Group
Form 13F Reporting Requirements . more in Section 13(f) securities must file Form 13F. An institutional investment manager is an entity that either invests in, or buys and sells, securities for its own account, for Form 13F filings, ... Read Here

SECURITIES & EXCHANGE COMMISSION EDGAR FILING
United 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 ... Access Document

SEC Publishes Section 13(d) And 13(g) Compliance & Disclosure ...
Securities and instructed the broker to sell the excess shares. and its emphasis on the need for investors to consider when they must amend their filings reflects the increased emphasis the Staff, SEC Publishes Section 13(d) and 13(g) Compliance & Disclosure Interpretations ... Fetch This Document

10Q J ALEXANDERS HOLDINGS INC
J. Alexander's Holdings, Inc. (also referred to herein as the "Company", "we", "us" or "our") cautions that certain information contained or incorporated by reference in this report and our ... Read News

A Guide To Regulation A+ - McGuireWoods
What Securities Can Be Sold in a Regulation A+ Offering A Guide to Regulation A+ | Page 3 Insignificant Deviations from a Term, Condition or Requirement ... Doc Retrieval

Regulation D (SEC) - Wikipedia
Regulation D establishes three exemptions from Securities Act registration. The securities are sold exclusively according to state law exemptions that permit general solicitation and advertising and you are selling only to accredited investors. ... Read Article