69 pages matching appropriate regulatory agency in this book
Results 1-3 of 69
What people are saying - Write a review
We haven't found any reviews in the usual places.
Other editions - View all
action amendment amount annual report application appropriate regulatory agency behalf beneficial owner broker or dealer broker or government class of securities clearing agency copies deemed derivative security directly or indirectly director disclosure document effect employee equity securities Federal Federal Reserve System financial statements fiscal Fund furnished government securities broker government securities dealer information required information statement Investment Company Act limited partnership market maker means municipal securities dealer NASDAQ national securities exchange necessary or appropriate option otherwise participant penny stock period person associated protection of investors proxy statement public interest purchase purposes pursuant to paragraph pursuant to section registered pursuant registrant’s registration statement Regulation S-K regulations thereunder request respect roll-up RR DONNELLEY rule or regulation rules and regulations Schedule section 12 security holders self-regulatory organization specified subject company subparagraph tender offer term thereof tion transfer agent United States Code violation voting