(a) Scope of section. An alternative trading system shall comply with the requirements in paragraph (b) of this section, unless such alternative trading system:(1) Is registered as an exchange under section 6 of the Act, (15 U.S.C. 78f); (2) Is exempted by the Commission from registration as an exchange based on the limited volume of transactions effected;
Bangladesh Securities and Exchange CommissionTranslate this pageThe Bangladesh Securities and Exchange Commission (BSEC) was established on 8th June, 1993 as the regulator of the countrys capital market under the provision of Bangladesh Securities and Exchange Commission Act 1993. The purpose of the Commission is to protect the interest of investors in securities, develop the securities market and make
Mar 27, 2020 · On March 25, 2020, the staff of the Securities and Exchange Commission issued two exemptive orders expanding previously issued temporary relief from Exchange Act filings on Schedules 13G and 13F, as well as expanding previously issued temporary relief and relaxing conditions for Form ADV and Form PF filing and delivery obligations (each, a New Order and together, the New Orders).
FORM ADV - SECWARNING:Complete this form truthfully. False statements or omissions may result in denial of your application, revocation of your registration, or criminal prosecution. You must keep this form updated by filing periodic amendments. See Form ADV General Instruction 4. Item 1 Identifying Information
File A Complaint Securities and Exchange Commission Dec 18, 2018 · No. 30, 3rd Circular Road, Cantonments, Accra. Tel:+233-302-768970-2 Fax:+233-302-768984 Email:[email protected] Toll-Free Number:0800100065. Mailing Address
SEC Form ExA:Application Form for Accreditation of an Individual External Auditor:SEC Form Au-Rep:Report of an Accredited External Auditor:SEC Form Pre-evaluation:Pre-evaluation Notice Form Accreditation as Asset Valuer:SEC Form AC-AR:Annual Report Pursuant to Guidelines on Asset Valuations:SEC Form CRA-12
Publications Securities and Exchange Commission Ghana Sep 04, 2017 · No. 30, 3rd Circular Road, Cantonments, Accra. Tel:+233-302-768970-2 Toll Free:0800 100065 Fax:+233-302-768984 Email:[email protected] Mailing Address
SEC.gov HOMEMaking Wall Street work for Main Street means getting your input. The U.S. Securities and Exchange Commission wants to hear from you! We want your input on proposed rules and want to know what information is important to you, the investor.
This series contains records of the broker-dealer firms required to register with the Securities and Exchange Commission under the Securities Exchange Act of 1934. The records include information from SEC Forms BD, BDW, SECO-5, and X-17A-19.SEC.gov Exchange Act Reporting and Registration
Annual and Quarterly ReportsCurrent ReportsExchange Act RegistrationExceptions to Exchange Act RegistrationSEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering. Your companys CEO and CFO must certify the financial and certain other information contained in annual reports on Form 10-K and quarterly reports on Form 10-Q. If your company qualifies as a smaller reporting company or an emerSEC.gov Forms List33 rows · This page provides links to PDF versions of SEC public forms and many of the rules,