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(49) In its disapproval orders, the SEC has applied a regulatory framework derived from the Investment Company Act of 1940 ("the Investment Company Act") and the Securities Exchange Act of 1934 ("the 1934 Act").
In the years and decades following the original passage of the 1934 Act, Congress would continue to subserviently renew its abdication of powers to the president.
In accordance with Section 16 of the 1934 Act, within two days of each day's execution under the 10b5-1 program, Pershing Square will disclose that day's trading in a Form 4 filing with the SEC.
The Communications Act of 1934 ("1934 Act") granted the FCC regulatory authority over interstate telephone services, but left the regulation of intrastate telephone services primarily to the states.
In connection with the NASDAQ application, the company has filed a Registration Statement on Form 10 with the US Securities and Exchange Commission (the "SEC") to register its common stock, par value USD 1.00 per share, under the Securities Exchange Act of 1934, as amended (the "1934 Act").
"While annual meetings existed before then," she adds, "the 1934 act and its Section 14 brought discipline to the communications leading up to the annual meeting." Another milestone occurred in the 1940s, when the SEC passed its first rules mandating inclusion of shareholder resolutions in proxy statements.
She has broad securities law expertise, including private equity and venture capital financings and public debt and equity offerings, 1934 Act compliance issues, proxy contests, and investment company, investment adviser and broker-dealer registration and regulation.
Berkshire Income Realty LLC (NYSE MKT:c) (NYSE MKT:BIRPRA) (NYSE MKT:BIR-A) (NYSE MKT:BIR.PR.A) revealed on Friday that a Form 25 (Notification of Removal from Listing and/or Registration under Section 12(b) of the US Securities Exchange Act of 1934 (the 1934 Act)) has been filed by NYSE MKT LLC with the US Securities and Exchange Commission (the SEC), to withdraw the company's 9% series A cumulative redeemable preferred stock from listing.
(62) Musey points to specific language within the 1934 Act that requires all license holders to waive any renewal expectation rights, presumably to give notice to firms that they do not have strong property rights claims in their licenses.
She regularly advises a broad range of corporate clients on ongoing public company matters, including their 1934 Act reports, and corporate governance and disclosure compliance.
of the 1933 Act and Section 10(b) of the 1934 Act. (88) But investors