JD Supra1mon
SEC Brings Charges for Failure to File Form D Notice in Connection with Exempt Securities Offerings under Regulation D
4 A “covered security” under Section 18 of the Securities Act is exempt from state law registration requirements (although filing a copy of the Form D notice with the pertinent state or states ...
Yahoo Finance6d
Texas Stock Exchange files Form 1 registration to operate as a national securities exchange
has filed its Form 1 registration with the U.S. Securities and Exchange Commission (SEC). TXSE wordmark (PRNewsfoto/TXSE Group Inc.) TXSE is one of the only fully integrated exchanges to file for ...
Bloomberg L.P.21d
Litecoin ETF Draws Near as Nasdaq Files Form Key to SEC Approval
A so-called form 19b-4 ... shortly after an updated registration application known as an S-1 was filed by Canary, a new digital asset-focused investment firm. The SEC must sign off on both ...
Morningstar6d
Texas Stock Exchange files Form 1 registration to operate as a national securities exchange
has filed its Form 1 registration with the U.S. Securities and Exchange Commission (SEC). TXSE is one of the only fully integrated exchanges to file for SEC approval in the past 20 years.