Apr 28, 2021
… Market Access system known as “EMMA” and available at https://emma.msrb.org . EMMA is the designated centralized …
Apr 28, 2021
… the SEC's Investment Adviser Public Disclosure website at www.adviserinfo.sec.gov and a broker on FINRA’s BrokerCheck website at www.finra.org/brokercheck . To confirm MSRB registration, you … can review the MSRB’s registered dealers list at http://www.msrb.org/Regulated-Entities/Registration-Status.aspx . …
Mar 17, 2021
An institutional investment manager that uses the U.S. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment discretion over $100 million or more in Section 13(f) securities (explained …
Mar 17, 2021
Rule 506 of Regulation D provides two distinct exemptions from registration for companies when they offer and sell securities. Companies relying on the Rule 506 exemptions can raise an unlimited amount of money. Under Rule 506(b), a “safe harbor” under …
Feb 2, 2021
Introduction This guide provides an overview of how to research the securities law through the SEC website and is provided as a service to investors and members of the public. It is neither a legal interpretation nor a statement of SEC policy. If you have …
Jul 1, 2019
… 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html . Tip 1. Make sure … advisers. You can find your state regulator at http://www.nasaa.org/about-us/contact-us/contact-your-regulator/ . … at 1-800-SEC-0330 or use our online question web form at https://www.sec.gov/oiea/QuestionsAndComments.html. …
Feb 21, 2019
… send us your complaint using our online complaint form at www.sec.gov/complaint.shtml. You can also reach us by regular … 100 F Street, N.E. Washington, D.C. 20549-0213 http://www.sec.gov You should also contact the banking regulator …
May 7, 2018
A "convertible security" is a security—usually a bond or a preferred stock—that can be converted into a different security—typically shares of the company's common stock. In most cases, the holder of the convertible determines whether and when to convert. …
Nov 14, 2017
Mergers are transactions involving the combination of generally two or more companies into a single entity. The need for shareholder approval of a merger is governed by state law. Typically, a merger must be approved by the holders of a majority of the …
Jun 9, 2017
… y el presente boletín del inversionista se centra en los aspectos básicos únicamente. Para obtener información … mutuos de inversión, dentro de la anualidad variable; en una fecha posterior, por ejemplo a la jubilación, le … Otros recursos de la SEC en línea (disponibles en http://www.investor.gov ) Anualidades variables: Lo que debe saber ( …