Short Title of Act. Section 2-2. Action: Notice of an application under section 6(c) of the Investment Company Act of 1940 (“Act”). SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): January 9, 2017 Ensco plc (Exact name of registrant as specified in its charter) England and Wales Refunding or crediting overpayment of section 31 fees. To amend the Securities Exchange Act of 1934 to require the Securities Exchange Commission to refund or credit excess payments made to the Commission. SECURITIES INDUSTRY ACT, 2011 (No. h�bbd``b`� $��6 ��$��@\e �֌����4����H4�a�w� . Citation and Commencement. 78ee(j)), and subject to subsection (c) of this section, if a national securities exchange or a national securities association has paid fees and assessments to the Commission in an amount that is more than the amount that the exchange or association was required to pay under section 31 of the Securities Exchange Act of 1934 (15 U.S.C. Relationship with other laws . The two bills are similar and CBO’s estimate of their budgetary effects is the same. This Act may be cited as the “Securities and Exchange Commission Overpayment Credit Act”. The two bills are similar and CBO’s estimate of … SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [ X ] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF Agencies. %%EOF Section 2. �ù�G;�"��>�)n���HqQ�a�l���S���7�X� ŗ����y*�Ck �c��t�. ( 78f). Act No. The Securities and Exchange Commission of Sri Lanka (SEC) was established in pursuance of the Securities and Exchange Commission of Sri Lanka Act, No. The Securities Act , RSA 2000 cS-4, is the statute that establishes Alberta's securities laws and gives the Alberta Securities Commission its powers and duties.The Revised Statutes of Alberta (RSA) 2000 came into effect on January 1, 2002. 1. 78f). This is a compilation of the Australian Securities and Investments Commission Act 2001 that shows the text of the law as amended and in force on 28 September 2017 (the compilation date). Securities and Exchange Commission of Pakistan Company Law Division (Corporatization & Compliance Department) SECP No.CLD/CCD/PR(11)/2017 July 20, 2017 CIRCULAR NO. This Act may be cited as the “Securities and Exchange Commission Overpayment Credit Act”. Citation and Commencement. 78o–3); and 1257, the Securities and Exchange Commission Overpayment Credit Act, as ordered reported by the House Committee on Financial Services on March 9, 2017. 78o–3); and. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-33977 VISA INC. Report an investment fraud. 2. Amendments to the Bangladesh Securities and Exchange Commission (Alternative Investment) Rules, 2015 June 22, 2020 Order relating to submission of shareholding position, other reports/information and establishment of digital platform at the stock Exchanges for … Short title. August 15, 2017 Reported with an amendment, committed to the Committee of the Whole House on the State of the Union, and ordered to be printed 7. h���k�6��=��ַ�A�6�� �� Objects of the Commission . [chamberOfAction] => House General Electric Company and GE Capital International Holdings Limited; Notice of Application February 13, 2017. SECTION 1. Pay fee to the Commission on or before January 31 st each year: Regulation 45: Employment of representative to Carry on Securities Business on Behalf of a Registered Firm: File immediate written notice with the Commission: Regulation 47 Form 11, Schedule 2: Resignation, Termination or Retirement of a registered Individual Conflict of Interest. (c) Applicability.—Subsection (b) shall apply only to fees and assessments that a national securities exchange or a national securities association was required to pay to the Commission before the date of enactment of this Act. 26 of 1991, Act No. Its goal was to increase public trust in the capital markets by requiring uniform disclosure of information about public securities offerings. 18 of 2003 and Act no. We facilitate a vibrant and collaborative environment which generates and protects wealth, and creates value for all. On June 13, 2017, New York Stock Exchange LLC (“NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Exchange Act”)1 and Rule 19b-4 thereunder,2 a proposed No. 2017 This Federal ... (“the Securities Act”) and the Securities and Exchange Act of 1934 (“the Exchange Act”) ... the Securities and Exchange Commission (SEC), which administers the securities laws in three basic ways: (1) it promulgates rules and orders to regulate the secu- ]��ߴ��cu��,��>����>�͢�;]=,ZQWW}��$B]]}ji(������%�����=���C�����n}߭����t����E�������끳�~l�emu���C��|i)�����7��o�����.�%�7�dl(d�����*��sLp,�,�!=��s���R H. Rept. This includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies as well as the nation's securities self regulatory organizations (SROs). - In exercise of powers conferred by sub-section (1) of section 169 of the Securities Act, 2015 and sub-section (1) of section 114 of the Futures Market Act, 2016, read with sections 68, 69, 75, 79, 80, 82, 84 and 151 of the Securities … With this Act, Congress created the Securities and Exchange Commission. View a sample of this title using the ReadNow feature. 2. Be it enacted by the Senate and House of Representatives of the 78ee) and, not later than 10 years after the date of such payment, the exchange or association informs the Commission about the payment of such excess amount, the Commission shall offset future fees and assessments due by that exchange or association in an amount that is equal to the difference between the amount that the exchange or association paid and the amount that the exchange or association was required to pay under such section 31. 4. Businesses with questions about securities law requirements that may apply to their DLT-based activities are encouraged to contact OSC LaunchPad at osclaunchpad@osc.gov.on.ca , (416) 596-4266 (Local) or 1-844-405-1339 (Canada toll-free). [displayText] => Reported (Amended) by the Committee on Financial Services. During 2017, the company had four business platforms (each a reportable segment)—Broadcast Solutions, Enterprise Solutions, Industrial Solutions, and Network Solutions. k�Q(��-�> endstream endobj 317 0 obj <>/Metadata 17 0 R/Outlines 21 0 R/PageLayout/OneColumn/Pages 314 0 R/StructTreeRoot 42 0 R/Type/Catalog>> endobj 318 0 obj <>/Font<>>>/Rotate 0/StructParents 0/Type/Page>> endobj 319 0 obj <>stream To amend the Securities Exchange Act of 1934 to require the Securities Exchange Commission to refund or credit excess payments made to the Commission. 28/21/2017 Objective for Revision of the Companies Ordinance, 1984 1. THE SECURITIES ACT 2005 (as amended, 2011) ARRANGEMENT OF SECTIONS . IN THE HOUSE OF REPRESENTATIVES February 28, 2017 Mr. Meeks (for himself and Mr. Hultgren) introduced the following bill; which was referred to the Committee on Financial Services 78ee) and, not later than 10 years after the date of such payment, the exchange or association informs the Commission about the payment of such excess amount, the Commission shall offset future fees and assessments due by that exchange or association in an amount that is equal to the difference between the amount that the exchange or association paid and the amount that the exchange or association was required to pay under such section 31. 36 of 1987 as amended by Act No. Securities Industry Act, 2016, Act 929 Foreign Exchange Act 2006 (Act 723) SEC Regulations 2003 (LI 1728) Unit Trust and Mutual Fund Regulations (LI 10 of 2011) SECURITIES INDUSTRY (FEE)(AMENDMENT) RULES, 2017 The Securities Commission, in exercise of the powers conferred by section 22 of the Securities Industry Act, 2011 (No. Union, and ordered to be printed, [Strike out all after the enacting clause and insert the part printed in italic], [For text of introduced bill, see copy of bill as introduced on February 28, 2017]. (a) This Act may be cited as the Securities Exchange Act 2017, and shall come into operation on such date (hereinafter referred to as the “appointed date”) as may be appointed by the Minister by order published in the Gazette Conflict of Interest. Sep 11, 2017. (c) Applicability.—Subsection (b) shall apply only to fees and assessments that a national securities exchange or a national securities association was required to pay to the Commission before the date of enactment of this Act. Mar 9, 2017. of the Act,9 designates March 30, 2017 as the date by which the Commission should either approve or disapprove the proposed rule change (File No. (b) Credit for overpayment of fees.—Notwithstanding section 31(j) of the Securities Exchange Act of 1934 (15 U.S.C. Here are the steps for Status of Legislation: To amend the Securities Exchange Act of 1934 to require the Securities Exchange Commission to Summary of Application: General Electric Company (“GE”) and GE Capital International Holdings Limited … 51 of 2001 as amended, taking into account amendments up to Corporations Amendment (Crowd-sourced Funding) Act 2017 An Act to provide for the Australian Securities and Investments Commission, a Corporations and Markets Advisory Committee and certain other bodies, and for other purposes Administered by: Treasury SEC. 3. (1) the term “Commission” means the Securities and Exchange Commission; (2) the term “national securities association” means an association that is registered under section 15A of the Securities Exchange Act of 1934 (15 U.S.C. [description] => Introduced SEC. September 28, 2017. Section 2-1. Array (2) the term “national securities association” means an association that is registered under section 15A of the Securities Exchange Act of 1934 (15 U.S.C. (2) This Act comes into operation on a date to be appointed … Recently, my company crafted a report for the US Securities and Exchange Commission that summarizes progress on Title III of the JOBS Act of 2012, also referred to Regulation Crowdfunding or Reg CF. Delegation of powers . !nb�~�]����k����M���� yF���o'�ʈZhe���8�4^(g� B��(��`��#v��u c�Fz-�V�T��Ϛm{�$8�x;R)R�{W�n��U/d]��y���{ᜪ�kӉ�Ţy� If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act of 1933, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. Agency: Securities and Exchange Commission (“Commission”). Companies Act, 2017 Rules and Regulations Associations with charitable & not for profit objects (licensing & corporate governance) Regulations, 2017 Issued Notified for public opinion The Limited Liability Partnership Regulations, 2017 The Companies (Incorporation) Regulations, 2017 The Intermediaries (Registration) Regulations, 2017 Circulars & Notifications Circular 15 of 2017 … Application of Act . 47 of 2009. As filed with the Securities and Exchange Commission on September 5, 2017 Registration No. Act. Significant Changes in the Companies Act, 2017 Seminar on the Companies Act organizedby ICAP Lahore – August 18, 2017 Securities and Exchange Commissionof Pakistan 1 2. SECURITIES AND EXCHANGE COMMISSION filed on December 20th, 2017 m����? PART II —THE COMMISSION . S. R. O. An Act to amend the Securities Commission Malaysia Act 1993. (a) Definitions.—In this section— (3) the term “national securities exchange” means an exchange that is registered as a national securities exchange under section 6 of the Securities Exchange Act of 1934 (15 U.S.C. Companies Act 2017 - SECP (Securities Exchange Commission of Pakistan) 1. United States of America in Congress assembled, SECURITIES AND EXCHANGE COMMISSION [Federal Register Volume 82, Number 175 (Tuesday, September 12, 2017)] [Notices] [Page 42865] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2017-19445] ----- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the … October 04, 2020 Print and Supply of Annual Report English and Annual Report Bengali and Supply of electronic version of Quarterly Review English and Newsletter Parikrama Bengali for Bangladesh Securities and Exchange Commission Section 2-1. (b) Credit for overpayment of fees.—Notwithstanding section 31(j) of the Securities Exchange Act of 1934 (15 U.S.C. Since that revision, the Act has been amended a number of times over the years. The two bills are similar and CBO’s estimate of their budgetary effects is the same. Find an application form. The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law. 334 0 obj <>stream Significant Changes in the Companies Act, 2017 Seminar on the Companies Act organizedby ICAP Lahore – August 18, 2017 Securities and Exchange Commissionof Pakistan 1 2. (1) the term “Commission” means the Securities and Exchange Commission; 6. Companies Act, 2017 Rules and Regulations Associations with charitable & not for profit objects (licensing & corporate governance) Regulations, 2017 Issued Notified for public opinion The Limited Liability Partnership Regulations, 2017 The Companies (Incorporation) Regulations, 2017 The Intermediaries (Registration) Regulations, 2017 Circulars & Notifications Circular 15 of 2017 … As Amended, Including All Amendments Effective as of September 1, 2017 Italic faced type indicates amendments by the 85th Legislature TABLE OF CONTENTS Section 1. This Act is the Securities and Futures (Amendment) Act 2017 and comes into operation on a date that the Minister appoints by notification in the Gazette. (3) the term “national securities exchange” means an exchange that is registered as a national securities exchange under section 6 of the Securities Exchange Act of 1934 (15 U.S.C. Creating the State Securities Board and Providing for Appointment of Securities Commissioner. 10 of 2011), makes the following rules– 1. 28/21/2017 Objective for Revision of the Companies Ordinance, 1984 1. Government of Pakistan Securities and Exchange Commission of Pakistan NOTIFICATION. Part VIII SECURITIES INDUSTRY COUNCIL AND TAKE-OVER OFFERS 138 Securities Industry Council ... is by way of salary, wages, commission or otherwise; ... [Deleted by Act 4/2017 wef 08/10/2018] Refunding or crediting overpayment of section 31 fees. See a listing of securities laws. Short title . On April 4, 2017, CBO transmitted a cost estimate for H.R. The Rules, inter alia , provides for the conditions to be fulfilled when making a preferential offer, the period of time for the allotment of securities, notification to be made to the Financial Services Commission and the contents of the preferential offer document. On April 4, 2017, CBO transmitted a cost estimate for S. 462, the Securities and Exchange Commission Overpayment Credit Act, as reported by the Senate Committee on Banking, Housing, and Urban Affairs on March 13, 2017. Agencies. Companies Act interpretation to apply . 7 OF 2017 Subject: Preparation and Filing of Financial Statements under the Companies Act, 2017 Subsequent to the promulgation of the Companies Act, 2017, it has been observed Islamabad, the 21stApril, 2017. On April 4, 2017, CBO transmitted a cost estimate for H.R. 323 0 obj <>/Filter/FlateDecode/ID[<360EDE3589A40E4181FDA1EBC43E35A2><3791293060A4EA4C92B60B76BC066276>]/Index[316 19]/Info 315 0 R/Length 56/Prev 32225/Root 317 0 R/Size 335/Type/XRef/W[1 2 1]>>stream ARKANSAS SECURITIES ACT EFFECTIVE AUGUST 1, 2017 Published by ARKANSAS SECURITIES DEPARTMENT Heritage West Building, Suite 300 201 East Markham ... defined by the United States Securities and Exchange Commission, investment companies as defined in the Investment Company Act … Creating the State Securities Board and Providing for Appointment of Securities Commissioner. h�b```�Tɬ��ˀ �@1f�;wy��j^�p���Ĺ[=,����C� 1. Section 2. 333-_____ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CEMTREX, INC. (Exact name of registrant as specified in its charter) Delaware 3829 30-0399914 S. 462 (115th). � +30�1�00w���� 1��"$��HqU%�f2��څf�@T1 k 10 of 2011), makes the following rules– 1. In GovTrack.us, a database of bills in the U.S. Congress. Belden offered and sold securities during the relevant period. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”),1and Rule 19b-4 thereunder,2notice is hereby given that on September 15, 2017, Nasdaq GEMX, LLC (“GEMX” or “Exchange”) filed with the Securities … Information about Standards of Conduct. Interpretation . Section 2-2. Home » Securities Exchange Commission of Zimbabwe v Gwatidzo N.O. [externalActionCode] => 5000 The Securities Act of 1933 is also known as the "Truth in Securities Act" and the "Federal Securities Act", or just the "1933 Act". UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the quarterly period ended: March 31, 2017 Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 for the transition period from to . Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange. SECURITIES AND EXCHANGE COMMISSION [Federal Register Volume 82, Number 87 (Monday, May 8, 2017)] [Notices] [Page 21443] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2017-09407] ----- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act… 8. and 95 read with section 169 of the Securities Act, 2015 (III of 2015), the Securities and Exchange Commission of Pakistan hereby makes the following regulations, the same have been previously published in the official Gazette vide Notification No.S.R.O.1139(I)/2015 dated 16 th 78ee(j)), and subject to subsection (c) of this section, if a national securities exchange or a national securities association has paid fees and assessments to the Commission in an amount that is more than the amount that the exchange or association was required to pay under section 31 of the Securities Exchange Act of 1934 (15 U.S.C. The Act empowers the SEC with broad authority over all aspects of the securities industry. 1257, the Securities and Exchange Commission Overpayment Credit Act, as ordered reported by the House Committee on Financial Services on March 9, 2017. [3] Commission staff made efforts to collect funds from Mesidor. 195. SECURITIES INDUSTRY ACT, 2011 (No. securities and exchange commission washington, d.c. 20549 form 20-f ☐ registration statement pursuant to section 12(b) or 12(g) of the securities exchange act of 1934 or ☒annual report pursuant to section 13 or 15(d) of the securities exchange act of 1934 for the fiscal year ended december 31, 2017 or 10 of 2011) SECURITIES INDUSTRY (FEE)(AMENDMENT) RULES, 2017 The Securities Commission, in exercise of the powers conferred by section 22 of the Securities Industry Act, 2011 (No. To amend the Securities Exchange Act of 1934 to require the Securities Exchange Commission to refund or credit excess payments made to the Commission. 115-275. ), (PDF provides a complete and accurate display of this text. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Eduardo A. Aleman Assistant Secretary 9 Id. [ ] ENACTED by the Parliament of Malaysia as follows: Short title and commencement 1. 9. (. The Securities and Exchange Commission (‘the Commission’) is established by the Securities Industry Act, 2016 (Act 929) (‘the Act’) with the object to regulate and promote the growth and development of an efficient, fair and transparent securities market in which investors and the integrity of the market are protected. 2. refund or credit excess payments made to the Commission. The Securities Commission Malaysia, abbreviated SC, a statutory body entrusted with the responsibility of regulating and systematically developing the capital markets in Malaysia. H.R. (c) an offer or issue of securities only to related corporations of the issuer of the securities. by the Commission on February 15, 2017, covering the registration of the sale of the Securities under the Securities Act of 1933, as amended (the “1933 Act”), and the rules and regulations of the Commission under the 1933 Act (the “1933 Act Regulations”). 1257 (115th). Mr. Meeks (for himself and Mr. Hultgren) introduced the following bill; which was referred to the Committee on Financial Services, Additional sponsors: Mrs. Carolyn B. Maloney of New York, Mr. Foster, Mr. Hollingsworth, and Mr. Sherman, Reported with an amendment, committed to the Committee of the Whole House on the State of the Code of ethics . 316 0 obj <> endobj Short Title of Act. SECURITIES AND EXCHANGE COMMISSION [Federal Register Volume 82, Number 175 (Tuesday, September 12, 2017)] [Notices] [Page 42865] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2017-19445] ----- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, … The U.S. Securities and Exchange Commission (SEC) is suing Kik for allegedly running an unregistered securities sale when it launched an initial coin offering (ICO) for its kin token in 2017. This is a compilation of the Australian Securities and Investments Commission Act 2001 that shows the text of the law as amended and in force on 1 July 2017 (the compilation date). 10 17 CFR 200.30-3(a)(57). If a person or company is offering securities to the public in Ontario, they must file a prospectus or rely on an exemption from the prospectus requirement. A bill to require the Securities and Exchange Commission to refund or credit certain excess payments made to the Commission. 0 endstream endobj startxref Find out if an entity is registered/licensed by the Commission. In GovTrack.us, a database of bills in the U.S. Congress. As Amended, Including All Amendments Effective as of September 1, 2017 Italic faced type indicates amendments by the 85th Legislature TABLE OF CONTENTS Section 1. ;[�~sb] �Pu]��[�^4�n����n�n�e����^6�o�v�,ۊ,` ��W? Sunshine Act Meeting asabaliauskas on DSK3SPTVN1PROD with NOTICES Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold a public meeting on Wednesday, May 10, 2017, in Multi-Purpose Room LL–006 at the Commission’s … Those efforts were limited to some extent by a consumer proposal made by Mesidor, but eventually Mesidor’s insolvency trustee paid a total of $6,029.53 (Funds) to the Commission in instalments which continued into late 2017. 5. SR-NYSEArca-2016-101). Securities Commission Malaysia Act 1993 (incorporating latest amendment up to 24 November 2017) (pdf) Securites Commission Act 1993 (pdf) Capital Markets And Services Act 2007 (Order, Schedule, Regulation, Amendments, Appointment Of Date Of Coming Into Operation) 274 (I)/2017. ), Refunding or crediting overpayment of section 31 fees, Blog – In Custodia Legis: Law Librarians of Congress, House - 08/15/2017 Placed on the Union Calendar, Calendar No. (1) This Act may be as the cited Securities Commission Malaysia (Amendment) Act 2017. The Securities and Exchange Commission of Pakistan Act, 1997, with up-to-date … Belden’s securities are registered pursuant to Section 12(b) of the Exchange Act. PART I —PRELIMINARY . 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