WebSep 16, 2024 · On September 16, 2024, the SEC adopted amendments to Rule 15c2-11, which governs the publication or submission of quotations by broker-dealers, to enhance investor protection and improve issuer transparency. Except for a few limited exceptions, these amendments restrict the ability of brokers-dealers and other market makers from …
SEC filing - Wikipedia
WebApr 5, 2016 · SEC Filings. Volume Statistics. Previous. Next. SEC Filings Filter SEC Filings. Group. Filing year. Items per page. Filing date Form Description View; Apr 05, 2024: 4: Statement of changes in beneficial ownership of securities. View HTML. 0001209191-23-023268.pdf. 0001209191-23-023268.rtf. 0001209191-23-023268.xls. … WebApr 12, 2024 · An SEC filing is a series of documents that a publicly-traded company must file with the United States Securities & Exchange Commission (SEC). Each document … rpa redmond or
How to Read SEC Filings When Buying Penny Stocks $ZYNE $YRIV
WebApr 8, 2024 · This system, which is operated by FINRA Regulation, Inc., permits investment advisers to satisfy their filing obligations under state and federal law with a single electronic filing made over the Internet. Neither the SEC nor the state securities authorities have approved the information filed on Form ADV, and we cannot guarantee its accuracy. WebFeb 15, 2024 · 1. Name and Address of Reporting Person*. 1. The Series A Preferred Stock has no expiration date. 2. Represents 100% of the outstanding shares of Series A Preferred Stock of the Issuer. 3. The Series A Preferred Stock may be converted into a number of shares of common stock of the Issuer equal to the holder's pro rata share of all Series A ... WebApr 7, 2024 · Welcome to bizfile California, the Secretary of State’s online portal to help businesses file, search, and order business records. Whether you are filing a financing statement pursuant to the Uniform Commercial Code (UCC), searching for a corporation (Corp), limited liability company (LLC), limited partnership (LP) filing or looking for an … rpa risk protection arrangement