Sentence examples for sec rule that from inspiring English sources

In theory, companies are protected against such lightning-strike raids by the SEC rule that shareholders must disclose their ownership position after crossing the 5% threshold.

JAMES SUROWIECKI: As an earlier commenter mentioned, the SEC rule that requires companies with more than 500 shareholders to file public returns that are similar to those a public company has to file probably played a big role.

This is the first time that the SEC has assessed financial penalties against individuals charged solely with violations of Regulation S-P, an SEC rule that requires financial firms to protect confidential customer information from unauthorized release to unaffiliated third parties.

Yet Mike Byrd, with Larry Sonsini's approval, put a system in place that ran afoul of an obscure SEC rule that had to do with the accounting of stock options.

Buoyed by the hostile shift of today's Supreme Court against campaign finance laws, contractors are challenging the federal law that applies to federal contractors (Wagner v. FEC) and the New York and Tennessee Republican parties are challenging the SEC rule that applies to state financial service contractors (New York Republican State Committee v. SEC).

To restore a more socially beneficial purpose, Lazonick proposes scrapping the SEC rule that permitted rampant stock repurchases and requiring corporations to have employee and public representatives on their boards.

REUTERS SEC to Examine Rules on Private Company Fund-Raising | The Securities and Exchange Commission has formed a panel to review whether a decades old rule that limits the number of shareholders a private company can have is still relevant.

It claims that Super Montage will improve the flow of accurate prices to investors, and that the ECNs benefit from a quirk in existing SEC-imposed "order-handling rules" that allows them, uniquely, to charge both buyers and sellers for trading via their systems, without making this transparent.

The Securities and Exchange Commission SECC) this week adopted a new rule that limits who can be charged a performance fee, or "carried interest", by SEC-registered investment advisors, including those who manage hedge funds and private equity funds.

We consider these factors each and every time the staff makes a recommendation to the Commission for new rules, or amendments to existing rules, that require market participant or SEC-registrant reporting and disclosures.

The measure, which was proposed by Portland city commissioner and former environmental lawyer Steve Novick, will take advantage of the fact that new Securities and Exchange Commission (SEC) rules will require companies to disclose their executive pay ratios for the first time beginning in 2017.