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[PDF File]SECURITIES & EXCHANGE COMMISSION EDGAR FILING
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2017 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to
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[PDF File]FORM D U.S. Securities and Exchange Commission
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U.S. Securities and Exchange Commission Washington, DC 20549 ... (If more than one issuer is filing this notice, check this box . ... Item 15. Sales Commissions and Finders' Fees Expenses Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount ofexpenditure an is not known,
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[PDF File]SECURITIES AND EXCHANGE COMMISSION October 9, 2019
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has not met its burden under the Exchange Act and the Commission’s Rules of Practice to demonstrate that its proposal is consistent with the requirements of Exchange Act Section 6(b)(5), and, in particular, the requirement that the rules of a national securities exchange be
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[PDF File]SECURITIES AND EXCHANGE COMMISSION
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Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. þYes ¨No
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[PDF File]SECURITIES AND EXCHANGE COMMISSION
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registered by the Company on Form S-8 (File No. 333-197218), filed with the Securities and Exchange Commission on July 2, 2014 (the “2014 Registration Statement”). Pursuant to General Instruction E to Form S-8 regarding registration of additional securities, the entire contents of …
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[PDF File]SECURITIES AND EXCHANGE COMMISSION
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SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D ... 1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and ... including brokerage commissions. The
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[PDF File]SECURITIES INVESTOR PROTECTION CORPORATION SIPC-7 …
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securities business as defined in or pursuant to the applicable sections of the Securities Investor Protection Act of 1970 (“Act”) and Article 6 of SIPC’s bylaws (see page 4), less item 2c(9) on page 2. B. Gross revenues of subsidiaries, except foreign subsidiaries, are required to be included in SIPC Net
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[PDF File]SECURITIES & EXCHANGE COMMISSION EDGAR FILING
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1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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[PDF File]SECURITIES & EXCHANGE COMMISSION EDGAR FILING
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candidates can be found under “Proposal 1 – Election of Directors” starting on page 19. We have elected to provide access to our proxy materials over the Internet under the Securities and Exchange Commission’s “notice and access” rules again this year.
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[PDF File]SECURITIES AND EXCHANGE COMMISSION FORM 10-Q
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The unaudited interim financial information of the Company has been prepared in accordance with Article 10 of the Securities and Exchange Commission’s (the "SEC") Regulation S-X. Accordingly, it does not include all of the information required by generally accepted accounting principles in the United States ("GAAP") for complete
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Securities and exchange commissions filing s page