SEC Releases Archives

Spirit Airlines Files Form 12b-25 - Investor Relations

This press release contains various forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the ...

SEC Filings - Freddie Mac

Freddie Mac's filings with the Securities and Exchange Commission (SEC) from ... Press Release Archive · Corporate Release Archive · Single-Family Release ...

SEC files complaint against a digital platform for unregistered offer ...

Recently, the SEC released its complaint against a digital platform that acted as an unregistered broker and seller of crypto-asset ...

U.S. Securities and Exchange Commission (@SECGov) / X

More: https://sec.gov/newsroom/press-releases/2024-176… SEC Adopts Rule ... #NDEAM https://sec.gov/files/2023-oasb-annual-report.pdf… Annual Report ...

SEC Releases Draft Taxonomy for Form SHO - Novaworks, LLC

... Skip to archive page; Skip to right sidebar. Thursday, October 17. 2024. SEC Releases Draft Taxonomy for Form SHO. On October 16th, the SEC issued a ...

Policy Statement - Secretary of the Commonwealth of Massachusetts

... records required to be maintained under SEC Rule 204-2. Also, section ... These two IA releases from the SEC can be found on its website at www.sec ...

WMIH SEC Filings (archived) - Mr. Cooper Group

Press Releases · Events · Presentations · Shareholder Information · Stock Price ... WMIH SEC Filings (archived). View Insider related Regulatory Filings: Forms ...

SEC Rule 17a-3 & FINRA Records Retention Requirements Explained

This comprehensive guide will help you understand the complex landscape of FINRA/SEC recordkeeping requirements, including SEC rules 17a-3 & 17a-4, ...

Disclosure Improvements in Response to the SEC's Release ... - FASB

In SEC Release No. 33-10532, Disclosure Update and Simplification, issued August 17, 2018, the SEC referred certain of its disclosure requirements that overlap ...

MinIO Object Storage: SEC 17a-4(f), FINRA 4511(c) and CFTC 1.31(c)

⬤ SEC Interpretive Release No. 34-47806, Electronic Storage of Broker-Dealer Records, dated May 7, 2003 (the 2003 Interpretive Release). In the Rule and ...

SeaWorld Entertainment, Inc. Files Form S-1 with SEC

This news release shall not constitute an offer to sell, or the solicitation of an offer to buy, nor shall there be any sale of these securities ...

SEC Regulation Best Interest (Reg BI) | FINRA.org

FAQs – The SEC staff releases FAQs on Reg BI and Form CRS on a rolling basis. ... Records to Be Made by Certain Exchange Members, Brokers and Dealers. 17 ...

SEC Filings - Comerica Investors

View all filings. Press releases, archived webcasts/presentations/conference calls, and SEC filings speak only to the date they are issued, made or filed, ...

Outsourcing by Investment Advisers

For example (3), the SEC already has authority to sanction advisers that refuse to produce required records. 16 Proposing Release at 199. Page 6 ...

All SEC Filings :: Bank of America Corporation (BAC)

Non-U.S. Legal Entity Pillar 3 Disclosures · Subsidiary & Country Disclosures. Filing Type: All SEC ... Files (opens in a new window), 29. 11/15/24, 424B2 ...

SEC Network Archives - ESPN Press Room U.S.

Press Releases · Media Kits · ESPN Media Conference Calls · Bios; Programming. Live ... SEC Network and SEC Network+, Oct. 15-16. October 14, 2024. SEC Network ...

SEC Tightens Record-Keeping Requirement on RIAs Reporting ...

Summary of Changes · Concern Over Preservation of Records for Litigation · Effective Date · How will this affect you? · Conclusion · Reference ...

Remarks At PLI's 56th Annual Institute On Securities Regulation ...

... sec.gov/files/litigation/admin/2021/ia-5930.pdf. [6] See, e.g., Press Release, SEC, “SEC Files Multiple Insider Trading Actions Originating ...

How To Ensure FINRA Compliance & SEC 17a-4 Record Retention

Assign a SEC/FINRA compliance officer · Register with an information commissioner · Determine data that needs archiving · Train staff on SEC/FINRA ...

What's Next in SEC and CFTC Review of Recordkeeping ... - Steptoe

Because these "off" channels were largely unmonitored by the firms, records of the communications were not maintained and archived pursuant to ...