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Securities Exchange Commission Filings

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8 documents available in our comprehensive collection of Securities Exchange Commission Filings resources. Find practical guides, tutorials, and documentation to enhance your knowledge.

Preview of here
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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
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Preview of filed
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filed (34-94982.pdf)

2.05 MBU.S. Securities and Exchange CommissionEN 77 pages
Cboe BZX Exchange filed a proposed rule change with the Securities and Exchange Commission to list and trade shares of the ARK 21Shares Bitcoin ETF under BZX
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charged (ia-6199.pdf)

428 KBU.S. Securities and Exchange CommissionEN 7 pages
The Securities and Exchange Commission (SEC) instituted administrative and cease-and-desist proceedings against Two Point Capital Management, Inc
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Preview of Exhibit Hyperlinks Rule
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Exhibit Hyperlinks Rule (33-10322.pdf)

377 KBU.S. Securities and Exchange CommissionEN 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
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Preview of http://www.sec.gov/news/studies/hedgefunds0903.pdf
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http://www.sec.gov/news/studies/hedgefunds0903.pdf (hedgefunds0903.pdf)

1.67 MBDivision of Investment ManagementEN 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
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Preview of Universal Proxy Rule
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Universal Proxy Rule (34-93596.pdf)

1.03 MBPosil, TiffanyEN 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
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Preview of SEC's Adopting Release: Revision to Privacy Act Rule (9/23)
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SEC's Adopting Release: Revision to Privacy Act Rule (9/23) (34-98437.pdf)

305 KBU.S. Securities and Exchange CommissionEN 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
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Preview of Investor Call for Mandatory Human Rights Due Diligence
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Investor Call for Mandatory Human Rights Due Diligence (The Investor Case for mHRDD - FINAL for 11.25 launch.pdf)

554 KBSara BlackwellEN 6 pages
Document en en
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