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Letterhead for A D #6 - Securities and Exchange Commission - sec

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The document is a correspondence from the SEC's Division of Corporation Finance to Stifel Financial Corp. regarding their Preliminary Schedule 14A filing. It outlines specific comments and requests for additional information related to the merger transaction, including disclosures about the fairness opinion provided by Citi, limitations on reliance by shareholders, and quantification of shares to be issued to optionholders. The SEC requests amendments and responses within 10 business days.

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What is the authorization for the Securities and Exchange Commission SEC?

After publication in the Federal Register, final regulations are then arranged by subject into the Code of Federal Regulations (CFR). SEC rules are found in Chapter II of Title 17 Commodity and Securities Exchanges.

What authority was given to the Securities and Exchange Commission?

The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. The SECs mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.

What is the role and authority of the Securities and Exchange Commission SEC )?

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

What was the authorization for Securities and Exchange Commission?

Securities Exchange Act of 1934. With this Act, Congress created the Securities and Exchange Commission. The Act empowers the SEC with broad authority over all aspects of the securities industry.

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