Events listed in Securities Act of 1933
Form for the registration of securities issued in business combination transactions ...
ID 24254
The U.S. Securities and Exchange Commission (SEC) has published Form N-14 – Registration Statement under the Securities Act of 1933 which will be valid through August 31, 2025 unless otherwise modified before, following the approval of the Office of Management and Budget (OMB) of a corresponding extension. The statement has to be filed with the SEC by all investment management companies and business development ...
Technical Amendments to Commission Rules and Forms
ID 23675
The U.S. Securities and Exchange Commission, SEC, has published in the Federal Register final rules and form amendments concerning the following Statutory Instruments: 17 CFR PART 200 – ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS 17 CFR PART 229 – STANDARD INSTRUCTIONS FOR FILING FORMS – REGULATION S-K 17 CFR PART 249 – FORMS, SECURITIES EXCHANGE ACT OF 1934 17 CFR PART 270 ...
Regulatory Notice 23-03
ID 22068
The Financial Industry Regulatory Authority (FINRA) has published a Regulatory Notice (23-03) to announce the 2023 level of the Governmental Accounting Standards Board (GASB) accounting support fee for FINRA member firms. The fee is collected quarterly whereby a „member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the Municipal ...
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
ID 21563
The U.S. Securities and Exchange Commission, SEC, has published a press statement to announce an upcoming consultation on proposed enhancements to the conflicts of interest requirements pertaining to securitizations. Specifically, the Commission seeks to implement a new rule under the Securities Act of 1933, namely 17 CFR Part 230 § 230.192, to prohibit sponsors, underwriters, placement agents, or initial purchasers of securitizations (securitization participants) ...