SECURITIES IN REGISTRATION
- Proposed Collection; Comment Request. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;11/26/2012, Vol. 77 Issue 227, p70495
The article informs about a notice issued by the U.S. Securities and Exchange Commission (SEC) inviting comments on a request sent to the U.S. Office of Management and Budget (OMB) for extension of information concerning a report form which have securities listed on an U.S. securities exchange.
- SECURITIES IN REGSITRATION. // Investment Dealers' Digest;9/22/2008, Vol. 74 Issue 36, p36
The article lists several companies that have registered their planned new securities offerings with the U.S. Securities and Exchange Commission in September 2008, including Celestial Delights USA, Emdeon and Idenix Pharmaceuticals.
- SECURITIES IN REGISTRATION: EQUITY. // Investment Dealers' Digest;11/24/2003, Vol. 69 Issue 45, p62
Lists planned offerings that have been registered with the U.S. Securities and Exchange Commission in the past one month, but have not yet come to market. Aeroflex Inc.; Amerada Hess Corp.; Entremed Inc.; Gasco Energy Inc.; Oxford Industries Inc.; Sirna Therapeutics Inc.; Chelsea Property Group...
- SEC to push for ECN link to ITS. Hendrickson, Mark // Securities Industry News;12/13/99, Vol. 11 Issue 49, p1
Focuses on the adoption of an Intermarket Trading System-CAES linkage by the United States Securities and Exchange Commission in an effort to integrate ECN into the national market. Significance of linkages in maintaining competitive strength; System and administrative changes to be carried out...
- McClain files to delist stock. Strong, Michael // Crain's Detroit Business;12/16/2002, Vol. 18 Issue 50, p19
Reports that Sterling Heights, Michigan-based McClain Industries Inc. has filed a notice of termination of registration with the U.S. Securities and Exchange Commission. Announcement of delisting of the company's stock from the NASDAQ smallcap market; Directors who have resigned from the...
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201. O'Neill, Kevin M. // Federal Register (National Archives & Records Service, Office of;6/5/2012, Vol. 77 Issue 108, p33258
The article presents information on a proposed rule change filed by NYSE Arca Inc. to the U.S. Securities and Exchange Commission (SEC) regarding its proposal for listing and trading shares of the JPM XF Physical Copper Trust.
- Finding a Home for Your SEC Compliance. Hahn, Debra E. // New Jersey CPA;Jan/Feb2010, p20
The article presents options in complying with the requirement of the Security and Exchange Commission (SEC) regarding the storage by public companies of data and business records in the U.S. Maintenance of less than 300 stockholders is necessitated when delisting from a stock market. Every...
- SEC Adopts Compensation Committee and Adviser Independence Rules. // Venulex Legal Summaries;2012 Q3, Special section p1
The article reports that the U.S. Securities and Exchange Commission (SEC) has adopted final rules that instruct national securities exchanges and national securities associations to establish listing standards. The listing standards are reportedly meant to address the independence of...
- SEC Filings. // Accountancy Ireland;Oct98, Vol. 30 Issue 5, p30
Presents information on the online service, EDGAR Database of Corporate Information, which provides information on companies that are required to file with the United States Securities and Exchange Commission (SEC). Details on the service.