Last week, however, the shareholder threshold was increased to 2, 000 under a new law aimed at relaxing some securities rules for smaller companies.
People familiar with the company's thinking say Facebook followed the securities rules mandating that certain deal-related communications be disclosed only in a deal's prospectus.
WSJ: Facebook Faces Lawsuits, Arbitration Over Its Initial Public Offering
In 2011, SEBI said that two Sahara real estate companies broke securities rules by issuing bonds to individuals between 2008 and 2011, but masking them as private placements.
One reason funds such as Millennium have been able to get stock is that companies have been required by securities rules to disclose financial information when their shareholder base exceeds 500.
Securities industry rules forbid your old brokerage firm to drag its feet in transferring your account.
In October, the China Securities Regulatory Commission introduced new rules relaxing restrictions on securities companies offering wealth-management services.
JPMorgan also points to new rules by securities regulators to limit naked short selling.
Mr Baker adds the current Securities and Exchange Commission rules already prevent an analyst from doing just that.
What keeps Ebay from becoming a stock market is government regulation: Most countries like their securities markets to follow rules.
FORBES: Why the world would be better off with one big stock market.
Whether or not Milken had broken the rules of securities trading was far less important than how he had broken the patterns of capital formation.
These include worries over the application of best-execution rules to securities other than shares, such as corporate bonds or specialised derivatives, that are traded off-exchange.
ECONOMIST: Europe's investment regulations: Ready or not | The
Frank Glassner, CEO of San Francisco-based Veritas Executive Compensation Consultants, said new Securities and Exchange Commission rules would allow shareholders to push the company to get money back from his severance deal.
Mr. Einhorn's lawsuit, filed in the federal court in Manhattan, argues that the very formulation of Apple's proxy statement violates Securities and Exchange Commission rules that allow shareholders to vote on "each matter" in the proposals.
Whether the means involve Federal Election Commission disclosure requirements, Securities and Exchange Commission rules on shareholder resolutions, or simply tagging those with opposing views as "hate groups, " the object is clear: to limit debate by forcing one side off the playing field.
Our company is a smaller reporting company as described by the Rules of the Securities and Exchange Commission Regulations.
FORBES: Going, Gone: Too Many "Going Concern" Warnings May Be As Bad As Too Few
America is not, but new rules from the Securities and Exchange Commission will require firms to reveal what, if anything, they are doing to increase diversity at the top table.
U.S. securities regulators are expected to propose rules aimed at making the modern electronic stock market a little less prone to computer glitches.
Although Schneiderman is in a unique position that allows him to prosecute financial fraud under rules separate from federal securities laws under the Martin Act.
Recent rules proposed by the Securities and Exchange Commission (SEC) in connection with the Dodd Frank reforms have received strong attention and criticism from hedge funds and private equity funds.
FORBES: Hedge Funds, Private Equity Funds Demand Confidentiality
But this is now drying up, because new rules imposed by the Securities and Exchange Commission have shrunk the profits that market makers earn on the spread between buy and sell prices.
The Securities and Exchanges Commission, whose rules Mr Einhorn claims proposal two breaks by bundling several votes into one, had an opportunity to review the proxy filing and made no objections, Apple added.
The ICI is opposing rules that would require securities brokers to disclose at the point of sale both their own financial interests in selling funds and funds' costs in such detail that the industry fears it would discourage sales.
Securities laws and Nasdaq's own rules have helped limit the exchange group's expenses from the technical glitches.
For example, under federal securities laws, there are statutes and rules permitting SEC administrative and civil enforcement actions and private causes of action which do not impose a requirement to plead or prove scienter.
As a result of a 2011 court ruling that overturned Securities and Exchange Commission (SEC) rules mandating universal proxy access, the Business Roundtable and the national Chamber of Commerce prevailed in their mistaken defence of corporations.
FORBES: Shareholders on the Rampage at Your Annual Meeting: U.S. Proxy Season Foresight
The Municipal Securities Rulemaking Board, a self-regulatory body that reports to the Securities and Exchange Commission, has proposed rules that would require brokers to ask clients about the importance of state tax benefits, explain a client's direct-sold in-state plan for comparison purposes, and determine what is most suitable for the client--instead of just pushing broker-sold out-of-state plans that might carry higher commissions for them.
In late 2009 the Securities and Exchange Commission expanded its proxy disclosure rules.
Earlier today, the Securities and Exchange Commission (SEC) adopted rules designed to implement core provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act regarding investment advisers, including those that advise hedge funds.
While a commission is probably the appropriate body to establish the rules and regulations that govern the securities markets, it would be better to have a single individual with the authority to bring or settle cases, an individual who has extensive litigation experience and experience conducting investigations.
The Securities and Exchange Commission finalized the new circuit breaker rules last month in response to the May 6 market crash.
FORBES: Do New Market Circuit Breakers Encourage Rogue Trading?
应用推荐