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https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · See Reforming the Securities Act of 1933 -- A Conceptual Framework, an Address by Linda C. Quinn, Director, Division of Corporation Finance, Securities and Exchange Commission, to the American Bar Association, Section of Business Law, Committee on Federal Regulation of Securities, Fall Meeting, Nov. 11, 1995, at 6.
https://www.sec.gov/Coronavirus
Under certain circumstances related to coronavirus, the Commission will not recommend enforcement action against registered funds for delaying delivery of its current prospectus to investors. Please see the press release and order for more information.
http://www.sec.gov.ph/wp-content/uploads/2020/03/2020MCNo07.pdf
personnel of the Electronic Records Management Division, ICTD (ERMD-ICTD) from undue exposure to the risk of Covid-19, the Securities and Exchange Commission (SEC) is hereby adopting the following procedures at the ERMD-ICTD: I. REQUEST FOR PLAIN/AUTHENTICATED COPY OF …
https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · The U.S. Securities and Exchange Commission (“SEC”) will permit an investment adviser to deliver the Form ADV Part 2 electronically; however, certain conditions must be met. The following are some of the key requirements. First, prior to electronic delivery, your investment adviser must obtain consent from the client.
Philippines Securities and Exchange Commission. 2019 IFIAR Survey Report On February 17, 2020, the International Forum of Independent Audit Regulators or IFIAR released its 2019 annual survey of inspection findings which the Philippine SEC participated.
https://www.osc.gov.on.ca/en/SecuritiesLaw_forms_index.htm
OSC Rule 11-501 - Electronic Delivery of Documents to the Ontario Securities Commission (OSC Rule 11-501) requires that as of February 19, 2014 certain documents identified under Ontario’s securities rules be filed electronically through the OSC’s web filing portal. You can submit these documents to the OSC through this website.
https://www.cov.com/~/media/files/corporate/publications/2007/03/768.pdf
Electronic Proxy Delivery: SEC Adopts "Notice and Access" Rules A new model for delivering annual reports, proxy statements and other proxy materials to shareholders of public companies will be test driven in 2007. The Securities and Exchange Commission has recently adopted a voluntary “notice and access” system under which issuers andFile Size: 108KB
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