Sentence examples for sec rules that from inspiring English sources

The disclosure of these plans is dictated by SEC rules that rely heavily on the "fair value" of awards at the time they are granted.

Thus, some have proposed SEC rules that would close the ten-day window permitted by the Williams Act before beneficial ownership must be disclosed by those who cross the 5% threshold.

While such voluntary disclosure is a useful development, we explain why voluntary disclosure cannot serve as a substitute for SEC rules that would require all public companies to disclose their political spending.

Finally, the SEC staff's process for considering and granting waivers to the automatic disqualification provisions of a number of the SEC rules that are triggered by certain enforcement matters, such as the WKSI status and the Regulation D "bad actor" provisions, may revert to the traditional approach followed prior to the recent highly public and unprecedented commission debate on these matters.

Here brokers use their customers' orders to gauge supply and demand in the market and to influence their own proprietary trading, a tactic rife with potential conflicts of interest.New SEC rules that will take effect at the end of January will make disclosure of some of the hidden costs of dealing routine.

The spat came amid a review of possible updates, released in April, to SEC rules that would require businesses to disclose financial risk posed by global warming, or government crackdowns on corporate profits stashed in offshore tax havens.

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.

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.

In spite of years of defensive lobbying, they are having to reveal all under new Securities and Exchange Commission SECC) rules that have just begun to take effect.

Rosenquist rules that out.

The New Proposed Regs, provide rules that allow a CRT to choose between a simplified method contained in the New Proposed Regs and the existing rules under Code Sec.