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Issuers, subject to certain exemptions, must register with the SEC if they have a security traded on a national exchange. A stockholder that receives over 5% of a class of Registered Securities in connection with a merger cannot rely on Section 13(d)(6)(A) of the Exchange Act and Rule 13d-1(d) to report beneficial ownership on Schedule 13G, and instead must immediately report beneficial ownership on Schedule 13D or, if available, Schedule 13G pursuant to Rule 13d-1(b) or Rule 13d-1(c). Id.,at 51 724. 34-88491 / march 26, 2020] order under section 15b of the securities exchange act of 1934 granting an exemption for municipal advisors from specified provisions of the securities exchange act and rule 15ba1-5(a)(1) thereunder 15 U.S.C. is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. in response to the holder of the issuer’s securities under circumstances in which it is reasonably foreseeable that the person will trade in the issuer’s securities on the basis of the information. SECTION 12(k) OF THE SECURITIES EXCHANGE ACT OF 1934. Securities Exchange Act of 1934 Section 10 Manipulative and Deceptive Devices It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange-- b. The Act was the first federal law to mandate disclosure of audited financial statements, it established the Securities and Exchange Commission (SEC), and is still the basis of much financial litigation. Form 144 is only filed when securities are sold. See the full text of the Securities Exchange Act of 1934. 5. The Security Exchange Act of 1934 ( “the Act”) is the most expansive secondary market regulation enacted in the history of the United States. securities and exchange commission [release no. (B) APPROPRIATE DISCLOSURE NOT PROHIBITED.—Noth- 2. 73–291, 48 Stat. Starting in February 2013, the Iran Threat Reduction and Syria Human Rights Act (the “Threat Reduction Act”) will impose new reporting requirements on U.S. domestic and foreign companies that are required to file reports with the U.S. Securities and Exchange Commission (the “SEC”) pursuant to Section 13(a) of the Securities Exchange Act of 1934 (the “Exchange Act”). Act 1934 for abstracting, indexing and referencing purposes. Report of Investigation ("Report") pursuant to Section 21(a) of the Securities Exchange Act of 1934 ("Exchange Act") in order to discuss the matters uncovered in the investigation and, in particular, deficiencies in the NASD's oversight of the Nasdaq market and its failure to enforce 6. Section 16 of the Securities Exchange Act, 38 MICH. L. REV. Commission File Number 333-234147 Issuer: Diginex Ltd Exchange: Nasdaq Stock Market LLC (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) Address: 6 Eu Tong Sen Street #08-13 The Central Singapore HONG KONG 059817 SN SECTION 35A(a) OF THE SECURITIES EXCHANGE ACT OF 1934. 16 Secur. securities and exchange commission: washington, d.c. 20549: form 25: notification of removal from listing and/or registration under section 12(b) of the securities exchange act of 1934. commission file number : 001-39456 The form below allows the user to calculate a corporate insider's short-swing profit liabilities under Section 16(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78l(k) (1988) (k)(1) Trading suspensions. § 78i (1988) (a) Transactions relating to purchase or sale of security Securities and Exchange Act of 1934 (Exchange Act): The Securities and Exchange Act of 1934 (Exchange Act) is United States legislation that regulates securities trading on the secondary market, stock exchange markets and the participants involved to protect investors. Id., at 51,716. Section 16(b) of the Securities Exchange Act of 1934 provides for the: recapture by a corporation of short-swing profits resulting from insider trading. Corporate Reporting. . UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Under Section 2(a)(1) of the Securities Act and Section 3(a)(10) of the Exchange Act, a security includes “an investment contract.” See . 15 U.S.C. Act 1934. Insider reporting and liability under Section 16 of the Securities Exchange Act of 1934. should be cited as Insider rep. liabil. Securities Law—Exchange Liability Under Section 6(b) of the Securities Exchange Act of 1934—Hughes v. Dempsey-Tegeler & Co., Inc.' Plaintiff, Reuben P. Hughes, a businessman and private in-vestor, brought suit against both Dempsey-Tegeler & Co., Inc. (Dempsey) a broker-dealer and … Id. Specifically, Section 13(d) of the Exchange Act (“Section 13(d)”) was “passed . Exch. §§ 77b-77c. In 1968, the Williams Act amended the Securities Exchange Act of 1934, as amended (the “Exchange Act”), enacting new provisions and rules related to tender offers. 133 (1939); The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub.L. 4. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest Section 21F of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) (15 U.S.C. 271 SECURITIES EXCHANGE ACT OF 1934 Sec. SECTION 6(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Current application of legal standards to the activities of par-ticipants in the securities industry reflects a blend of two distinct regulatory techniques.' Companies with more than $10 million in assets whose securities are held by more than 500 owners must file annual and other periodic reports. SECTION 9 OF THE SECURITIES EXCHANGE ACT OF 1934 15 U.S.C. If in its opinion the public interest and the protection of investors so require, the Commission is authorized by order- 881, enacted June 6, 1934, codified at 15 U.S.C. This Act may be cited as the “ Securities Exchange Act of 1934.” NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE Seo. 17 CFR § 243.100(b)(1). *Section 13(d) of the Securities Exchange Act of 1934 requires filing of a Schedule 13D once a person becomes an owner of more than 5% of the outstanding voting shares of a reporting company. Exch. Securities Exchange Act of 1934. be deemed “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall such information and the Exhibits be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act… § 78p(b) and to retrieve potentially relevant insider trading data from documents filed with the Securities and Exchange Commission.. Background. 6* ESS 0C VDI-W7-PFL-2394 14.4.13.0 Page 1 of 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 16, 2021 MICROSTRATEGY INCORPORATED The Commission shall take appropriate action under section 24(c) to ensure that such information is not inappropri-ately disclosed. § 78a et seq.) The Securities Exchange Act of 1934 addresses many areas of securities law. Section 13(g) – Statement of equity security ownership (1) Any person who is directly or indirectly the beneficial owner of more than 5 per centum of any security of a class described in subsection (d)(1) shall send to the issuer of the security and shall file with the Commission a statement setting forth, in such form and at such time as the Commission may, by rule, prescribe– . 17A (A) IN GENERAL.—Section 24 shall apply to the sharing of information in accordance with this subsection. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ … under Sect. Through the Securities Exchange Act of 1934,2 An investment contract is an investment of money in a common enterprise with a reasonable expectation of profits to be derived from the entrepreneurial or managerial efforts of others. Home→The Deskbook–Table of Contents→The Securities Acts and General Regulations→Securities Exchange Act of 1934→General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240)→ Regulation 14C – Distribution of Information pursuant to Section 14C (Rules 14c-1 to 14c-101) Liability under Section 16(b) … The Act also empowers the SEC to require periodic reporting of information by companies with publicly traded securities. 15 U.S.C.

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