Articles related to the category "SEC"

10-K indpakning 2000 investorgrænse 500 Aktionærgrænse 8-K (formular 8K)Accounting Series Releases (ASR)afdeling for investeringsforvaltning afdeling for selskabsfinansiering Afsnit 12D-1 American National Standards Institute (ANSI)Anmodning om samtykke Anti-hvidvaskning af penge (AML)Appeldomstole bank stresstest Bankforsikringsfond (BIF)Basel II Basel-aftalen Baselkomitéen for Banktilsyn blå ark Børsmægler British Columbia Securities Commission (BCSC)Bureau of Labor Statistics (BLS)Canadian Securities Institute (CSI)Compliance afdeling Compliance Officer Direktivet om forvaltere af alternative investeringsfonde (AIFMD)Dirks Test Dykbeskyttelsesteam Employee Benefits Security Administration (EBSA)Endeligt prospekt Enheden for finansielle institutioner og tilsynspolitik (FIPP).Ensartet værdipapirlov Environmental Protection Agency (EPA)Federal Communications Commission (FCC)Federal Housing Finance Agency (FHFA)Federal Trade Commission (FTC)Fem procent regel Financial Conduct Authority (UK) (FCA)Financial Services Agency (FSA)Financial Services Authority (FSA)Financial Stability Oversight Council (FSOC)FINTRAC Føderal dækket rådgiver folkeboligloven Forbundsagentur Form ADV-E Formular F-6EF Forordning NMS Forordning SHO Fuld åbenhed Fuldmagtserklæring Howey test Ikke-udstedertransaktion Insider Trading Sanctions Act af 1984 Insiderhandelsloven af 1988 International Labour Organisation (ILO)International Organisation for Standardization (ISO)International Organisation of Securities Commissions (IOSCO)Internationalt clearingsystem Investment Adviser Association (IAA)Investment Advisers Act af 1940 Investorbeskyttelsesloven Kærning Kapitalkrav Kend din klient (KYC)Kommentarbrev Kongressens tilsynspanel (COP)Kontoret for Thrift Supervision (OTS)Legende Lov om investeringsselskaber af 1940 Mangelbrev Markedsværdiregel Meddelelsesarkivering Multijurisdictional Disclosure System (MJDS)National Association of Securities Dealers (NASD)National Futures Association (NFA)National Market System Plan (NMSP)Nationalt anerkendt statistisk vurderingsorganisation (NRSRO)North American Securities Administrators Association (NASAA)Ontario Securities Commission (OSC)Options Clearing Corporation (OCC)Ordrebeskyttelsesregel Pensionering af værdipapirer Planlæg TIL Primær regulator Pris Loft Regel 10b-5 Regel 10b-6 Regel 10b–18 Regel for gennemsnitlig pris Regel K Regel W Registrering Regler for fair praksis Reguleret marked Regulering Fair Disclosure (Reg FD)Rimelige midler til investorer Royal Institution of Chartered Surveyors (RICS)S-8 Fyldning SEC Form 1-A SEC Form 1-U SEC Form 10-KT SEC Form 10-QT SEC Form 10-SB SEC Form 11-K SEC Form 13F SEC Form 15F SEC Form 17-H SEC Form 18-K SEC Form 20-F SEC Form 20FR12B SEC Form 24F-2 SEC Form 40-F SEC Form 424A SEC Form 497 SEC Form 6-K SEC Form 8A12BEF SEC Form ADV-W SEC Form ARS SEC Form ATS-R SEC Form D SEC Form DEF 14A SEC Form F-3 SEC Form F-4 SEC Form F-6 SEC Form F-7 SEC Form F-8 SEC Form FN SEC Form N-14 SEC Form N-6 SEC Form N-PX SEC Form N.Q.SEC Form PRE 14A SEC Form PRER14A SEC Form T-1 SEC Form T-3 SEC Form U-7D SEC gebyr SEC MEF-arkivering SEC POS AM-arkivering SEC Regulation D (Reg D)SEC RW-arkivering SEC-afdelingen for håndhævelse SEC-formular 10 SEC-formular 10-12B SEC-formular 10-12G SEC-formular 10-C SEC-formular 10-D SEC-formular 10-K405 SEC-formular 12b-25 SEC-formular 144 SEC-formular 15 SEC-formular 15-12B SEC-formular 15-12G SEC-formular 15-15D SEC-formular 18 SEC-formular 18-12B SEC-formular 19b-4 SEC-formular 3 SEC-formular 305B2 SEC-formular 4 SEC-formular 424B1 SEC-formular 424B2 SEC-formular 424B3 SEC-formular 424B4 SEC-formular 424B5 SEC-formular 425 SEC-formular 485A24E SEC-formular 485A24F SEC-formular 5 SEC-formular 8-A SEC-formular 8-A12B SEC-formular 8-K12G3 SEC-formular BD SEC-formular BDW SEC-formular CB SEC-formular DEFM14A SEC-formular DFAN14A SEC-formular N-17D-1 SEC-formular N-17f-2 SEC-formular N-18f-1 SEC-formular N-2 SEC-formular N-54C SEC-formular N-CSR SEC-formular N-SAR SEC-formular NSAR-A SEC-formular NT 10-Q SEC-formular PRRN14A SEC-formular PX14A6G SEC-formular S-11 SEC-formular S-2 SEC-formular S-3 SEC-formular S-3D SEC-formular S-4 SEC-formular S-6 SEC-formular S-8 SEC-formular SB-2 SEC-formular U-3A-2 SEC-formular U-5S SEC-formular X-17A-5 SEC-skema 13E-3 SEC-udbytte SEC-udgivelse IA-1092 Securities and Exchange Commission (SEC)Securities Exchange Act af 1934 Securities Industry Regulatory Authority (SIRA)Securities Investor Protection Corporation (SIPC)Securities Transfer Agents Medallion Program SEDAR Sektion 1202 Skema 13E-4 Skema 13G Skema 14C Statsadministrator Tidsplan TO-C Tidsplan TO-T Trade Reporting and Compliance Engine (TRACE)Uregistrerede aktier US Census Bureau Væsentlig ikke-offentlig information Voldgift Wells meddelelse

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