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Securities Commission
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50 documents available in our comprehensive collection of Securities Commission resources. Find practical guides, tutorials, and documentation to enhance your knowledge.
Bangladesh Securities and Exchange Commission: Revised Panel of Auditors for Listed Securities (Auditors-Panel-for-FS-of-Listed-Securities.pdf)
482 KBEN 2 pages
The Bangladesh Securities and Exchange Commission (BSEC) has revised its panel of auditors for listed companies, approving a new list effective December 21, 2016
CSRC-SFC MoU (ENF_MOU_Eng_2016.pdf)
90 KBEN 5 pages
The China Securities Regulatory Commission (CSRC) and the Securities and Futures Commission of Hong Kong (SFC) have agreed to strengthen regulatory and
Rules – Investment Managers (Rules_Investment-Managers.pdf)
360 KBEN 23 pages
The Securities and Exchange Commission of Sri Lanka Act, No
harmonization report (opacftc-secfinaljointreport101.pdf)
944 KBEN 96 pages
Securities and Exchange Commission (SEC) and the U
COMPLAINT (comp-pr2016-105.pdf)
363 KBEN 27 pages
The Securities and Exchange Commission (SEC) alleges that Charles C
staff bulletin the Securities and Exchange Commission began circulating on Thursday. (sec-staff-bulletin-on-duty-of-care.pdf)
376 KBEN 24 pages
The Securities and Exchange Commission staff bulletin reiterates standards of conduct for broker-dealers and investment advisers, focusing on care obligations
Eliminate Barriers to Innovation Act (mchenry_eliminate_barriers_to_innovation_act.pdf)
43 KBEN 8 pages
The "Eliminate Barriers to Innovation Act of 2021" directs the Commodity Futures Trading Commission and the Securities and Exchange Commission to jointly
Instride Inc. (33-10248.pdf)
85 KBEN 4 pages
The Securities and Exchange Commission (SEC) has instituted public proceedings against Instride, Inc
PDF Download (Alexander I. Platt The Whistleblower Industrial Complex.pdf)
949 KBEN 71 pages
The Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) receive numerous whistleblower tips daily, with the SEC averaging
Whistleblower Rules (34-95620-fact-sheet.pdf)
260 KBEN 2 pages
The US Securities and Exchange Commission has adopted two amendments to its whistleblower program rules, allowing the Commission to make awards for related
SEC Complaint Form (formtcr.pdf)
81 KBEN 16 pages
This is a form from the US Securities and Exchange Commission (SEC) for submitting a tip, complaint, or referral
Securities and Exchange Commission of Sri Lanka: protecting investors through market regulations (27-01-2012-english-3rd-proof.pdf)
481 KBEN 2 pages
The Securities and Exchange Commission of Sri Lanka (SEC) is located at the World Trade Centre in Colombo
HKEX Dividend Forfeiture Notice (230602_forfeiture2016Final_c.pdf)
373 KBEN 1 page
The Securities and Futures Commission takes no responsibility for the contents of this announcement, makes no representation as to its accuracy or completeness
illegal securities offering (SEC-v.-Paragon-Coin.pdf)
231 KBEN 13 pages
The Securities and Exchange Commission (SEC) instituted cease-and-desist proceedings against Paragon Coin, Inc
Disclosure Update (33-10532.pdf)
1.43 MBEN 308 pages
The Securities and Exchange Commission is adopting amendments to certain disclosure requirements that have become redundant, duplicative, overlapping,
final rule (34-98959_0.pdf)
1.17 MBEN 206 pages
The Securities and Exchange Commission is adopting rules to improve the governance of clearing agencies by reducing conflicts of interest, increasing
Clearing Agency Rules (34-95431.pdf)
988 KBEN 172 pages
The Securities and Exchange Commission is proposing rules to improve the governance of clearing agencies by reducing conflicts of interest, increasing
proposed rule (ic-34441.pdf)
2.37 MBEN 325 pages
The Securities and Exchange Commission is proposing amendments to rules governing money market funds to improve resilience and transparency
SEC's Interpretive Release: Management's Discussion and Analysis of Financial Condition and Results of Operations (1/20) (33-10751.pdf)
195 KBEN 9 pages
The Securities and Exchange Commission is providing guidance on key performance indicators and metrics in Management's Discussion and Analysis of Financial
Harbor Wealth Services (Form-CRS_Harbor-Wealth-Management_09.12.2023.pdf)
86 KBEN 2 pages
Harbor Wealth Management, LLC is an investment adviser registered with the Securities and Exchange Commission, offering customized investment advisory and
Exhibit Hyperlinks Rule (33-10322.pdf)
377 KBEN 47 pages
The Securities and Exchange Commission is adopting amendments to require registrants to include a hyperlink to each exhibit listed in the exhibit index of
the SEC amended Form ADV in 2017 (ia-4509.pdf)
870 KBEN 165 pages
The Securities and Exchange Commission is adopting amendments to Form ADV to provide additional information about investment advisers, including their
Principles for the Regulation and Supervision ofthe Commodity Derivatives Markets (ioscopd358.pdf)
821 KBEN 76 pages
The International Organization of Securities Commissions (IOSCO) has released a final report on principles for the regulation and supervision of commodity
Receiver's Motion (biochemics-motion-to-approve-plan.pdf)
458 KBEN 10 pages
The Securities and Exchange Commission (SEC) commenced litigation against Biochemics, Inc
Virtual Asset Terms (VA_Portfolio_Managers_Terms_and_Conditions_EN.pdf)
753 KBEN 38 pages
These terms and conditions set out principles and requirements for corporations licensed by the Securities and Futures Commission (SFC) managing portfolios
SEC Exemptions Order (34-88960.pdf)
126 KBEN 3 pages
The Securities and Exchange Commission extended temporary exemptions from certain provisions of the Exchange Act and rules for transfer agents and other
on two (ic-34593.pdf)
1.09 MBEN 209 pages
The Securities and Exchange Commission is proposing to amend the rule under the Investment Company Act of 1940 that addresses certain broad categories of
SEC Comment Letter (filename1.pdf)
29 KBEN 2 pages
The US Securities and Exchange Commission commented on Summit Healthcare Acquisition Corp
Commission Study on Enhancing Investment Adviser Examinations Mandated by Section 914 of the Dodd-Frank Wall Street Reform and C (enhancingiaexaminations-10.pdf)
384 KBEN 9 pages
The Financial Industry Regulatory Authority (FINRA) recommends that the Securities and Exchange Commission (SEC) seek authority to establish one or more
Fair Fund Distribution Plan (34-84531-dp.pdf)
153 KBEN 12 pages
The Securities and Exchange Commission has established a Fair Fund to distribute $2,937,491 to investors who purchased Maxwell Technologies, Inc
Sécurité, informatique et manifestations - Rapport de sous-commission 2019 (cogest2019_rapport_sous-commission_-sec_2019.pdf)
782 KBFR 8 pages
La sous-commission chargée d'examiner le Dicastère Sécurité, informatique et manifestation (SEC) pour l'année 2019 a rencontré les chefs de services et les
charged (ia-6199.pdf)
428 KBEN 7 pages
The Securities and Exchange Commission (SEC) instituted administrative and cease-and-desist proceedings against Two Point Capital Management, Inc
Universal Proxy Rule (34-93596.pdf)
1.03 MBEN 197 pages
The Securities and Exchange Commission is amending federal proxy rules to require the use of a universal proxy card in non-exempt solicitations involving
PSE Form 17-Q Q2 2020 (2020.08.15) (08_15_20_17Q_Q2_2020.pdf)
1.41 MBEN 78 pages
submitted its quarterly report for the period ended June 30, 2020, to the Securities and Exchange Commission
View Report (VF_FY2023_Annual_Report-DIGITAL-FINAL.pdf)
6.13 MBEN 112 pages
VF Corporation's annual report for the fiscal year 2023, filed with the US Securities and Exchange Commission, provides an overview of the company's business,
defines (im-guidance-2015-03.pdf)
80 KBEN 4 pages
The US Securities and Exchange Commission provides guidance on the application of Rule 204A-1, which requires registered investment advisers to maintain and
here (COVID_Extensions_FRN_March_2021.pdf)
191 KBEN 2 pages
1) a notice from the Securities and Exchange Commission regarding a filing that will be available for public viewing, with comments due by March 24, 2021, and
announced (ia-6380.pdf)
276 KBEN 16 pages
The Securities and Exchange Commission (SEC) instituted administrative and cease-and-desist proceedings against Titan Global Capital Management USA LLC, a
http://www.sec.gov/news/studies/hedgefunds0903.pdf (hedgefunds0903.pdf)
1.67 MBEN 134 pages
Hedge funds have grown significantly in size and influence in the US financial markets, prompting a staff report to the Securities and Exchange Commission
27-09-2013 Consultation Paper 20 – Introduction as a method for listing of equity (27-09-2013d.pdf)
573 KBEN 7 pages
The Securities and Exchange Commission of Sri Lanka proposes to re-introduce 'Introduction' as a method for listing equity on the Colombo Stock Exchange (CSE)
Proxy Voting Advice (34-95266-fact-sheet.pdf)
241 KBEN 2 pages
The US Securities and Exchange Commission adopted amendments to proxy rules governing proxy voting advice, rescinding certain conditions and guidance to
Agenda for Green and Sustainable Finance (SFC-Agenda-for-Green-and-Sustainable-Finance_en.pdf)
497 KBEN 16 pages
Hong Kong aims to become a global green finance centre, with the Securities and Futures Commission (SFC) developing a regulatory framework to support this
SEC's Adopting Release: Revision to Privacy Act Rule (9/23) (34-98437.pdf)
305 KBEN 31 pages
The Securities and Exchange Commission (SEC) is adopting amendments to its regulations under the Privacy Act of 1974, which clarify, update, and streamline
write the rule (34-67717.pdf)
959 KBEN 232 pages
The Securities and Exchange Commission is adopting new rules and an amendment to a new form pursuant to Section 1504 of the Dodd-Frank Wall Street Reform and
EY remediation report (ey-final-remediation-report-on-bmw-9-october-2019.pdf)
34 KBEN 3 pages
BMW Australia Finance Limited (BMWAF) offered an Enforceable Undertaking (EU) to the Australian Securities & Investments Commission (ASIC) on 2 December 2016
denuncia (comp24723.pdf)
1.87 MBEN 42 pages
The US Securities and Exchange Commission (SEC) filed a complaint against Sergii Grybniak, Opporty International, Inc
here (IOSCOPD555.pdf)
202 KBEN 13 pages
The International Organization of Securities Commissions (IOSCO) conducted a survey on loan funds, which are a unique type of fund that can originate loans, in
Download the consultation paper (PDF 278KB) (cp268-published-28-september-2016.pdf)
278 KBEN 15 pages
The Australian Securities and Investments Commission (ASIC) is seeking feedback on its proposal to repeal Class Order [CO 03/824], which provides licensing
Annual Report FY2016 (2016_10K.pdf)
1.03 MBEN 119 pages
filed its annual report (Form 10-K) with the Securities and Exchange Commission for the fiscal year ended December 31, 2016
demanda (Securities-fraud-1.pdf)
321 KBEN 24 pages
The Securities and Exchange Commission (SEC) has filed a complaint against Kinetic Investment Group, LLC, and its managing member, Michael Scott Williams, for
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