Articles related to the category "Sec and Regulatory Bodies"
10-K Wrap2000 Investor Limit500 Shareholder Threshold8-K (Form 8K)Accounting Series Releases (ASR)Alternative Investment Fund Managers Directive (AIFMD)American National Standards Institute (ANSI)Anti Money Laundering (AML)Appellate CourtsArbitrationAverage Cost Pricing RuleBank Insurance Fund (BIF)Bank Stress TestBasel AccordBasel Committee on Banking SupervisionBasel IIBlue SheetsBritish Columbia Securities Commission (BCSC)Bureau of Labor Statistics (BLS)Canadian Securities Institute (CSI)Capital RequirementsChurningCompliance DepartmentCompliance OfficerCongressional Oversight Panel (COP)Consent SolicitationDeficiency LetterDirks TestDivision of Corporation FinanceDivision of Investment ManagementEmployee Benefits Security Administration (EBSA)Environmental Protection Agency (EPA)Fair Funds for InvestorsFederal AgencyFederal Communications Commission (FCC)Federal Covered AdvisorFederal Housing Finance Agency (FHFA)Federal Trade Commission (FTC)Final ProspectusFinancial Conduct Authority (UK) (FCA)Financial Institutions and Prudential Policy (FIPP) UnitFinancial Services Agency (FSA)Financial Services Authority (FSA)Financial Stability Oversight Council (FSOC)FINTRACFive Percent RuleForm ADV-EForm F-6EFFull DisclosureHowey TestInsider Trading Act of 1988Insider Trading Sanctions Act of 1984International Clearing SystemInternational Labor Organization (ILO)International Organization for Standardization (ISO)International Organization of Securities Commissions (IOSCO)Investment Adviser Association (IAA)Investment Advisers Act of 1940Investment Company Act of 1940Investor Protection ActKnow Your Client (KYC)LegendLetter of CommentMarket Capitalization RuleMaterial Nonpublic InformationMultijurisdictional Disclosure System (MJDS)National Association of Securities Dealers (NASD)National Futures Association (NFA)National Housing ActNational Market System Plan (NMSP)Nationally Recognized Statistical Ratings Organization (NRSRO)Non-Issuer TransactionNorth American Securities Administrators Association (NASAA)Notice FilingOffice of Thrift Supervision (OTS)Ontario Securities Commission (OSC)Options Clearing Corporation (OCC)Order Protection RulePlunge Protection TeamPrice CeilingPrimary RegulatorProxy StatementRegistrationRegulated MarketRegulation Fair Disclosure (Reg FD)Regulation KRegulation NMSRegulation SHORegulation WRetirement of SecuritiesRoyal Institution Of Chartered Surveyors (RICS)Rule 10b – 18Rule 10b-5Rule 10b-6Rules of Fair PracticeS-8 FilingSchedule 13E-4Schedule 13GSchedule 14CSchedule TOSchedule TO-CSchedule TO-TSEC Division of EnforcementSEC FeeSEC Form 1-ASEC Form 1-USEC Form 10SEC Form 10-12BSEC Form 10-12GSEC Form 10-CSEC Form 10-DSEC Form 10-K405SEC Form 10-KTSEC Form 10-QTSEC Form 10-SBSEC Form 11-KSEC Form 12b-25SEC Form 13FSEC Form 144SEC Form 15SEC Form 15-12BSEC Form 15-12GSEC Form 15-15DSEC Form 15FSEC Form 17-HSEC Form 18SEC Form 18-12BSEC Form 18-KSEC Form 19b-4SEC Form 20-FSEC Form 20FR12BSEC Form 24F-2SEC Form 3SEC Form 305B2SEC Form 4SEC Form 40-FSEC Form 424ASEC Form 424B1SEC Form 424B2SEC Form 424B3SEC Form 424B4SEC Form 424B5SEC Form 425SEC Form 485A24ESEC Form 485A24FSEC Form 497SEC Form 5SEC Form 6-KSEC Form 8-ASEC Form 8-A12BSEC Form 8-K12G3SEC Form 8A12BEFSEC Form ADV-WSEC Form ARSSEC Form ATS-RSEC Form BDSEC Form BDWSEC Form CBSEC Form DSEC Form DEF 14ASEC Form DEFM14ASEC Form DFAN14ASEC Form F-3SEC Form F-4SEC Form F-6SEC Form F-7SEC Form F-8SEC Form F-NSEC Form N-14SEC Form N-17D-1SEC Form N-17f-2SEC Form N-18f-1SEC Form N-2SEC Form N-54CSEC Form N-6SEC Form N-CSRSEC Form N-PXSEC Form N-QSEC Form N-SARSEC Form NSAR-ASEC Form NT 10-QSEC Form PRE 14ASEC Form PRER14ASEC Form PRRN14ASEC Form PX14A6GSEC Form S-11SEC Form S-2SEC Form S-3SEC Form S-3DSEC Form S-4SEC Form S-6SEC Form S-8SEC Form SB-2SEC Form T-1SEC Form T-3SEC Form U-3A-2SEC Form U-5SSEC Form U-7DSEC Form X-17A-5SEC MEF FilingsSEC POS AM FilingSEC Regulation D (Reg D)SEC Release IA-1092SEC RW FilingSEC Schedule 13E-3SEC YieldSection 1202Section 12D-1Securities and Exchange Commission (SEC)Securities Exchange Act of 1934Securities Industry Regulatory Authority (SIRA)Securities Investor Protection Corporation (SIPC)Securities Transfer Agents Medallion ProgramSEDARState AdministratorTrade Reporting and Compliance Engine (TRACE)U.S. Census BureauUniform Securities ActUnregistered SharesWells Notice
