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ChecklIst application - Home | DART
Registered individuals are under a continuing obligation to update information required by filing SEC Form 28-AMD no later than seven (7) days of such changes. To amend information, indicate in the appropriate space on page 1 of the form that it is an amended filing, and make changes to the form where appropriate accompanied by the Execution Page.
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SEC filing - Wikipedia
Secretary of state records, including corporation, limited partnership, limited liability company, assumed name, trademark, and UCC filings, are available from the web through SOSDirect. In accordance with section 405.018 of the Government Code, the secretary of …
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[DOC File]blank edgar form
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Application for registration as an Salesman is made by filing SEC Form 28-S with the Commission and paying the prescribed fee. Salesman refers to a natural person hired to buy and sell securities on a salary or commission basis properly endorsed to the Commission by the employing Broker Dealer.
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[DOC File]FILINGS UNDER THE NEW .us
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V. FILINGS FOR A TROUBLED ECONOMY 2. ... limited, Co., Corp., Inc., or Ltd. (Sec. 5.054 BOC) 2. The names of foreign for-profit corporations must include one of the following words or abbreviations: company, corporation, incorporated, limited, Co., Corp., Inc., or Ltd. (Sec. 5.054 BOC) If the name of a foreign corporation registering to do ...
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SEC Compliance Checklist -- General
The requirements for a plan of merger are set forth in article 5.01B of the Texas Business Corporation Act, sec. 2.11(b) of the Texas Revised Limited Partnership Act, art. 10.03 of the Texas Limited Liability Company Act, sec. 9.02 of the Texas Revised Partnership …
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[DOC File]FILINGS UNDER THE NEW
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(4)The parent company’s financial statements are filed for the periods specified by Rule 3-01 and 3-02 of Regulation S-X and include a footnote stating that the issuer is a 100%-owned finance subsidiary of the parent company and the parent company has fully and unconditionally guaranteed the securities.
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[DOC File]FILINGS UNDER THE NEW
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1. The requirements for a plan of merger are set forth in Article 5.01B of the Texas Business Corporation Act, Sec. 2.11(b) of the Texas Revised Limited Partnership Act, Art. 10.03 of the Texas Limited Liability Company Act, Sec. 9.02 of the Texas Revised Partnership Act, and Sections 10.002 to …
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[DOC File]FILINGS UNDER THE NEW - Texas
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(2) Barclays Global Investors, N.A. filed a Schedule 13G with the SEC on January 23, 2007, reporting that the 2,061,582 shares of the Company’s Common Stock are held as follows: (a) shares held, (b) percentage of Company’s outstanding Common Stock, (c) …
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[DOC File]blank edgar form
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the new thresholds and rule, a company could qualify as an SRC and be eligible for the scaled disclosures available to such companies but also be an accelerated filer and subject to those requirements, including the shorter deadlines for periodic filings and the requirement to include in its filings an auditor’s attestation report on internal ...
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[DOC File]SEC FORM 28-S
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The Company’s executive officers, directors, and persons who own more than 10% of a registered class of the Company’s equity securities are required to file, under the Securities Exchange Act of 1934, reports of ownership and changes of ownership with the Securities and Exchange Commission. ... (aside from a stockholder proposal under SEC ...
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