Use of electronic media by broker-dealers, transfer agents, and investment advisers for delivery of information: additional examples under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940

Article Abstract:

The SEC report regarding the use of electronic media by stockbrokers and investment advisers is presented. Examples of the use of the SEC regulations under the Securities Act of 1933, Securities Exchange Act, and the Investment Company Act of 1940 are included.

---

Use of electronic media for delivery purposes

Article Abstract:

The SEC report on the use of electronic media for delivery purposes is presented. Interpretive guidance is offered to assist market participants under the Securities Act of 1933, Securities Exchange Act, and the Investment Company Act of 1940.

---

Securities and Exchange Commission release no. 34-39093 - amendments to rules on shareholder proposals

Article Abstract:

The SEC report on release no. 34-39093 regarding amendments to stockholder proposals rules is presented.

Stockholders

Similar abstracts:

• Abstracts: Much of the transactional activity following the Telecommunications Act of 1996 flows from the elimination of entry barriers and outmoded regulations
• Abstracts: Scope of anti-bribery rules still unclear. Led by the U.S., the world wages war on corruption; after two decades, numerous international organizations are embracing principles set forth in the Foreign Corrupt Practices Act
• Abstracts: Values for probation, society and beyond. Risk management and rehabilitation in the probation service: collision and collusion
• Abstracts: ADR, the NLRB and non-union workers. The employee's perspective: mandatory binding arbitration constitutes little more than a waiver of a worker's rights
• Abstracts: ADR and employment discrimination: a Massachusetts agency leads the way. Training labor abritrators in South Africa

This website is not affiliated with document authors or copyright owners. This page is provided for informational purposes only. Unintentional errors are possible.