Sentences with phrase «require reporting issuers»

Generally, securities laws require reporting issuers to publicly disclose all material changes, material facts and material risks to their business.

Under the proposed amendments, the disclosure of any oil and gas metric requires the reporting issuer to identify the standard, methodology and meaning of the metric, and to provide a cautionary statement as to the reliability of the metric.

Not exact matches

Not later than 270 days after the date of enactment of the Dodd - Frank Wall Street Reform and Consumer Protection Act, the Commission shall issue final rules that require each resource extraction issuer to include in an annual report of the resource extraction issuer information relating to any payment made by the resource extraction issuer, a subsidiary of the resource extraction issuer, or an entity under the control of the resource extraction issuer to a foreign government or the Federal Government for the purpose of the commercial development of oil, natural gas, or minerals...

An authorization that is made verbally, most commonly over the phone that allows an issuer (in the credit card world) to perform a task that requires authorization — this could range from authorizing a hard pull on a credit report to making an EFT for bill payment.

This is because every credit bureau has its own formula to determine credit scores, and banks, credit card issuers, and other creditors are not required to report credit information to all 3 bureaus.

(1) this simple parameter eliminates most (or possibly all) of the shipping companies since, as foreign issuers, they are only required to file SEC annual reports, and are not required to file the quarterlies at all.

In both instances, these services or products may include: company financial data and economic data (e.g., unemployment, inflation rates and GDP figures), stock quotes, last sale prices and trading volumes, research reports analyzing the performance of a particular company or stock, narrowly distributed trade magazines or technical journals covering specific industries, products, or issuers, seminars or conferences registration fees which provide substantive content relating to eligible research, quantitative analytical software and software that provides analyses of securities portfolios, trading strategies and pre / post trade analytics, discussions with research analysts or meetings with corporate executives which provide a means of obtaining oral advice on securities, markets or particular issuers, short - term custody related to effecting particular transactions and clearance and settlement of those trades, lines between the broker - dealer and order management systems operated by a third party vendor, dedicated lines between the broker - dealer and the investment adviser's order management system, dedicated lines providing direct dial - up service between the investment adviser and the trading desk at the broker - dealer, message services used to transmit orders to broker - dealers for execution, electronic communication of allocation instructions between institutions and broker - dealers, comparison services required by the SEC or another regulator (e.g., use of electronic confirmation and affirmation of institutional trades), exchange of messages among broker - dealers, custodians, and institutions related to a trade, post-trade matching of trade information, routing settlement instructions to custodian banks and broker - dealers» clearing agents, software that provides algorithmic trading strategies, and trading software operated by a broker - dealer to route orders to market centers or direct market access systems.

Video: New card law changes relationship between colleges, issuers — The Credit CARD Act changes the once - secret agreements between card issuers and colleges by requiring schools to report any deals they make with card companies to the Federal Reserve Board.

Many credit issuers will require the charge to be reported within about 60 days of it being made.

«Issuers of municipal securities are not required to disclose information that is not yet available or reasonably reliable,» Haines, wrote in her report.

If adopted, the proposed amendments will require TSX - listed and other non-venture issuers reporting in Ontario to include the following disclosure annually in their proxy circulars:

MAR requires that appropriate measures, including policies and procedures, are put in place to ensure compliance, for example in respect of additional disclosure requirements, the preparation of insider lists and reporting of transactions involving persons discharging managerial responsibilities within the issuer (PDMRs)(which can have a de minimis threshold in certain Member States as low as $ 5,000 to trigger the reporting obligation) and the maintenance of lists of such PDMRs and any associated persons.

Section 75 of the Act requires «forthwith» disclosure of material changes to a reporting issuer's business, operations or capital.

If the requested decision is made by the securities regulatory authorities, Brookfield Residential will cease being a reporting issuer in any jurisdiction in Canada and, as a result, will no longer be required to file financial statements and other continuous disclosure documents with Canadian securities regulatory authorities.