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Securities Act Section 8A and Exchange Act Section 21C authorize the Commission to issue a cease-and-desist order against any person who is a cause of another persons violation of the federal securities laws.
What is Section 21 of the Securities Act?
Section 21(a) of the Exchange Act authorizes the Commission to investigate whether any person has violated, is violating, or is about to violate the federal securities laws.
What is Section 21F of the Securities Exchange Act of 1934?
The Congressional purpose underlying Section 21F of the Exchange Act is to encourage whistleblowers to report possible violations of the securities laws by providing financial incentives, prohibiting employment related retaliation, and providing various confidentiality protections.
What is the 21d of the Exchange Act?
Section 21(d) of the Securities Exchange Act of 1934 (Exchange Act) to codify and expand the power of the Securities and Exchange Commission (SEC) to obtain disgorgement in civil actions.
What is Rule 14a 21 C under the Exchange Act?
New Rule 14a-21(c) of the Exchange Act requires issuers, in any proxy or consent solicitation for a meeting at which shareholders are asked to approve an acquisition, merger, consolidation or proposed sale or disposition of all or substantially all of an issuers assets, to provide a separate shareholder advisory vote
Related Searches
Section 13(a) of the Exchange ActSection 12 of the securities Exchange Act of 1934Section 13 or 15(d) of the Securities Exchange Act of 1934Section 3(a)(39) of the Securities Exchange Act of 1934Section 9(a)(2 of the securities Exchange Act of 1934)Section 17A of the Securities Exchange Act OF 1934Section 10A of the Securities Exchange Act of 1934Section 15 of the securities Exchange Act of 1934
Related forms
Application for Registration as a Northern Business - Industry
What is Section 21 D of the Securities Exchange Act?
In any action or proceeding brought or instituted by the Commission under any provision of the securities laws, the Commission may seek, and any Federal court may grant, any equitable relief that may be appropriate or necessary for the benefit of investors.
Related links
2018 ANNUAL REPORT
On March 12, 2019 the SEC approved the Offer and issued an Order Instituting Cease-and-. Desist Proceedings Pursuant to Section 21C of the Securities Exchange
The Commission may enter a temporary order requiring the respondent to cease and desist from the violation or threatened violation and to take such action.
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