Articles related to the category "Sec en regelgevende instanties"
10-K indpakning2000 investorgrænse500 Aktionærgrænse8-K (formular 8K)Accounting Series Releases (ASR)afdeling for investeringsforvaltningafdeling for selskabsfinansieringAfsnit 12D-1American National Standards Institute (ANSI)Anmodning om samtykkeAnti-hvidvaskning af penge (AML)Appeldomstolebank stresstestBankforsikringsfond (BIF)Basel IIBasel-aftalenBaselkomitéen for Banktilsynblå arkBritish Columbia Securities Commission (BCSC)Bureau of Labor Statistics (BLS)Canadian Securities Institute (CSI)Compliance afdelingCompliance OfficerDirektivet om forvaltere af alternative investeringsfonde (AIFMD)Dirks TestDykbeskyttelsesteamEmployee Benefits Security Administration (EBSA)Endeligt prospektEnheden for finansielle institutioner og tilsynspolitik (FIPP).Ensartet værdipapirlovEnvironmental Protection Agency (EPA)Federal Communications Commission (FCC)Federal Housing Finance Agency (FHFA)Federal Trade Commission (FTC)Fem procent regelFinancial Conduct Authority (UK) (FCA)Financial Services Agency (FSA)Financial Services Authority (FSA)Financial Stability Oversight Council (FSOC)FINTRACFøderal dækket rådgiverfolkeboliglovenForbundsagenturForm ADV-EFormular F-6EFForordning NMSForordning SHOFuld åbenhedFuldmagtserklæringHowey testIkke-udstedertransaktionInsider Trading Sanctions Act af 1984Insiderhandelsloven af 1988International Labour Organisation (ILO)International Organisation for Standardization (ISO)International Organisation of Securities Commissions (IOSCO)Internationalt clearingsystemInvestment Adviser Association (IAA)Investment Advisers Act af 1940InvestorbeskyttelseslovenKærningKapitalkravKend din klient (KYC)KommentarbrevKongressens tilsynspanel (COP)Kontoret for Thrift Supervision (OTS)LegendeLov om investeringsselskaber af 1940MangelbrevMarkedsværdiregelMeddelelsesarkiveringMultijurisdictional 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)OrdrebeskyttelsesregelPensionering af værdipapirerPlanlæg TILPrimær regulatorPris LoftRegel 10b-5Regel 10b-6Regel 10b–18Regel for gennemsnitlig prisRegel KRegel WRegistreringRegler for fair praksisReguleret markedRegulering Fair Disclosure (Reg FD)Rimelige midler til investorerRoyal Institution of Chartered Surveyors (RICS)S-8 FyldningSEC Form 1-ASEC Form 1-USEC Form 10-KTSEC Form 10-QTSEC Form 10-SBSEC Form 11-KSEC Form 13FSEC Form 15FSEC Form 17-HSEC Form 18-KSEC Form 20-FSEC Form 20FR12BSEC Form 24F-2SEC Form 40-FSEC Form 424ASEC Form 497SEC Form 6-KSEC Form 8A12BEFSEC Form ADV-WSEC Form ARSSEC Form ATS-RSEC Form DSEC Form DEF 14ASEC Form F-3SEC Form F-4SEC Form F-6SEC Form F-7SEC Form F-8SEC Form FNSEC Form N-14SEC Form N-6SEC Form N-PXSEC Form N.Q.SEC Form PRE 14ASEC Form PRER14ASEC Form T-1SEC Form T-3SEC Form U-7DSEC gebyrSEC MEF-arkiveringSEC POS AM-arkiveringSEC Regulation D (Reg D)SEC RW-arkiveringSEC-afdelingen for håndhævelseSEC-formular 10SEC-formular 10-12BSEC-formular 10-12GSEC-formular 10-CSEC-formular 10-DSEC-formular 10-K405SEC-formular 12b-25SEC-formular 144SEC-formular 15SEC-formular 15-12BSEC-formular 15-12GSEC-formular 15-15DSEC-formular 18SEC-formular 18-12BSEC-formular 19b-4SEC-formular 3SEC-formular 305B2SEC-formular 4SEC-formular 424B1SEC-formular 424B2SEC-formular 424B3SEC-formular 424B4SEC-formular 424B5SEC-formular 425SEC-formular 485A24ESEC-formular 485A24FSEC-formular 5SEC-formular 8-ASEC-formular 8-A12BSEC-formular 8-K12G3SEC-formular BDSEC-formular BDWSEC-formular CBSEC-formular DEFM14ASEC-formular DFAN14ASEC-formular N-17D-1SEC-formular N-17f-2SEC-formular N-18f-1SEC-formular N-2SEC-formular N-54CSEC-formular N-CSRSEC-formular N-SARSEC-formular NSAR-ASEC-formular NT 10-QSEC-formular PRRN14ASEC-formular PX14A6GSEC-formular S-11SEC-formular S-2SEC-formular S-3SEC-formular S-3DSEC-formular S-4SEC-formular S-6SEC-formular S-8SEC-formular SB-2SEC-formular U-3A-2SEC-formular U-5SSEC-formular X-17A-5SEC-skema 13E-3SEC-udbytteSEC-udgivelse IA-1092Securities and Exchange Commission (SEC)Securities Exchange Act af 1934Securities Industry Regulatory Authority (SIRA)Securities Investor Protection Corporation (SIPC)Securities Transfer Agents Medallion ProgramSEDARSektion 1202Skema 13E-4Skema 13GSkema 14CStatsadministratorTidsplan TO-CTidsplan TO-TTrade Reporting and Compliance Engine (TRACE)Uregistrerede aktierUS Census BureauVæsentlig ikke-offentlig informationVoldgiftWells meddelelse
