Rules & Regulations

It is a fraudulent, deceptive or manipulative act or practice within the meaning of section 14(e) of the Act (15 U.S.C. 78n) for any person ...

Change in majority of directors. If, pursuant to any arrangement or understanding with the person or persons acquiring securities in a transaction subject to section ...

(a) A shareholder or group of shareholders that submits a nominee or nominees in accordance with §240.14a-11 or a procedure set forth under applicable state ...

(a) If any material change occurs with respect to the nomination, or in the disclosure or certifications set forth in the Schedule 14N (§240.14n-101) required ...

One copy of Schedule 14N (§240.14n-101) filed pursuant to §§240.14n-1 and 240.14n-2 shall be mailed by registered or certified mail or electronically transmitted to the ...

Securities and Exchange Commission, Washington, DC 20549 Schedule 14N Under the Securities Exchange Act of 1934 (Amendment No. _)* (Name of Issuer)   (Title of ...

Preliminary Note: OTC derivatives dealers are a special class of broker-dealers that are exempt from certain broker-dealer requirements, including membership in a self-regulatory organization (§240.15b9-2), ...

Shares of a corporation which represent ownership, or entitle the holders thereof to possession and occupancy, of specific apartment units in property owned by such ...

(a) A natural person who is a member of a national securities exchange shall, upon termination of his association with a registered broker-dealer, be exempt, ...

A lender approved under the rules and regulations of the Small Business Administration shall be exempt from the registration requirement of section 15(a) (1) of ...