section 15 of the securities exchange act of 1934

Report of Institutional Investment Managers Pursuant to Section 13(f) of the Securities Exchange Act of 1934 Institutional investment managers (Managers) must file Form 13F with the Securities and Exchange Commission (the Commission) as required by Section 13(f) of the Securities Exchange Act of 1934 [15 U.S.C. An introduction to federal securities law, found on the site's main arbitration page, addresses the Securities Act of 1933 and the Securities Exchange Act of 1934, and summarizes section 10b and Rule 10b-5, the antifraud provisions of the Securities Exchange Act of 1934. Overview of the 1934 Act The 1934 Act established the […] SECTION 21A OF THE SECURITIES EXCHANGE ACT OF 1934 ... or enforce any policy or procedure required under section 15(f) of this title or section 204A of the Investment Advisers Act of 1940 and such failure substantially contributed to or permitted the occurrence of the act or acts constituting the violation. A landmark of wide-ranging legislation, the Act of '34 and related statutes … Sec. Sec… Sec. Swap Agreements. Sec. 91925 / May 18, 2021 Admin. No person shall be subject … Read below for more information about Rule 10b of the Act, its history and purpose, and how the SEC has used its provisions to combat securities fraud. § 78a et seq.) “The Securities and Exchange Commission shall conduct rulemaking proceedings and prescribe final regulations under the Securities Act of 1933 [15 U.S.C. Securities and Exchange Commission Washington, D.C. 20549 FORM 10‐Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 29, 2019 or 3. Proc. Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the 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 Section 13(b) of the Securities Exchange Act of 1934 [15 U.S.C. Employer Identification … The Securities Exchange Act of 1934 was created to govern securities transactions on the secondary market and ensure fairness and investor confidence. Securities Exchange Act of 1934. The Securities Acts and General Regulations. 4. PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 19, 2021 MICROSTRATEGY INCORPORATED (Exact name of registrant as specified in its charter) Delaware 0-24435 51-0323571 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. 333-150332 COMSOVEREIGN … SECURITIES EXCHANGE ACT OF 1934 Release No. 3-7930 december 3, 1992 order instituting proceedings pursuant to section 15(b) of the securities exchange act of 1934, making findings, and imposing remedial sanctions and Freedom from doubt, anxiety, or fear; confidence. to implement the requirements of section 14(h) of the Securities Exchange Act of 1934 [15 U.S.C. Freedom from risk or danger; safety. Definitions and Application of Title. Specifically, Section 13(d) of the Exchange Act (“Section 13(d)”) was “passed . Employer Identification No.) … . The Act empowers the SEC with broad authority over all aspects of the securities industry. 3. 881, which is classified generally to this chapter (§ 78a et seq.). in response to the Securities Act of 1933. Yes [ ] No [ x ] Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file … 78dd–1) and sections 104 and 104A of the Foreign Corrupt Practices Act of 1977 (15 U.S.C. General rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240) 881, enacted June 6, 1934, codified at 15 U.S.C. Commission File Number: 000-54739. Although the 1933 Act set ambitious goals and standards for disclosure, it was silent on the practical aspect of enforcement. Indicate by check mark if the Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. 73–291, 48 Stat. 111-72, APPROVED O CT. 13, 2009] TABLE OF CONTENTS T ITLE I—R EGULATION OF S ECURITIES E XCHANGES. and the Securities Exchange Act of 1934 [15 U.S.C. X QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from _____ to_____ Commission File No. … SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 16, 2021 MICROSTRATEGY INCORPORATED (Exact name of registrant as specified in its charter) Delaware 0-24435 51 … This includes the power to register, regulate, and oversee brokerage firms, transfer agents, and clearing agencies as well as the nation's securities self regulatory … 78m(f)] (Exchange Act) and rule 13f-1 [17 … 1. The 1934 act also requires every person who directly or indirectly owns more than 10 percent of a class of registered equity securities, and every officer and director of every company with a class of equity securities registered under that section, to file a report with the SEC at the time he acquires the status, and at the end of any month in which he acquires or disposes of these securities … 8 To avoid this … This Act may be cited as the “ Securities Exchange Act of 1934.” NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE Seo. 2. SECURITIES EXCHANGE ACT OF 1934 [A S A MENDED THROUGH P.L. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K È ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020 or ‘ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-32356 … The Securities Exchange Act of 1934, referred to in subsec. 3A. PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 11, 2021 MICROSTRATEGY INCORPORATED (Exact name of registrant as specified in its charter) Delaware 0-24435 51-0323571 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. (a)(47), is act June 6, 1934, ch. An international organization providing commercial communications services shall be treated as a public international organization for purposes of section 30A of the Securities Exchange Act of 1934 (15 U.S.C. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which makes it necessary to … 78a et seq.] ties 1. is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. In 1948, the Securities and Exchange Commission (SEC) began to enact rules against fraud in securities trading under the authority granted to it by the Securities and Exchange Act of 1934. Short Title. 2. (2) Additional restrictions on liability. securities exchange act of 1934 in the matter of john h. gutfreund, thomas w. strauss, and john w. meriwether, respondents administrative proceeding file no. General rules and regulations promulgated under the Securities Act of 1933 (17 CFR Part 230) Forms prescribed under the Securities Act of 1933; Securities Exchange Act of 1934. File No. Pursuant to Sections 15(a)(2) and 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”), the Securities and Exchange Commission (“SEC” or “Commission”) is proposing to grant exemptive relief to permit natural persons to engage in certain limited activities on behalf of issuers (“Finders”), without registering as brokers under Section 15 of the Exchange Act. PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 13, 2021 MICROSTRATEGY INCORPORATED (Exact name of registrant as specified in its charter) Delaware 0-24435 51-0323571 (State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. … Necessity for Regulation As Provided in This Title. ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended August 2, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ____ to ____ Commission file no: 1-4121 DEERE & COMPANY (Exact … AMERITEK VENTURES, INC. (Exact name of registrant as … 208 S. Akard St., Dallas, Texas … Once delisted, a company may nonetheless be required to continue reporting pursuant to Section 12(g) of the Exchange Act if it has more than 500 holders of record and total assets exceeding $10 million, or pursuant to Section 15(d) of the Exchange Act if it at any time had an effective Registration Statement under the Securities Act of 1933. 3-20025 In the Matter of PERKINS OIL & GAS, INC. ORDER TO SHOW CAUSE The Securities and Exchange Commission (“Commission”) issued an Order Instituting Proceedings (“OIP”) on September 18, 2020, pursuant to Section 12(j) of the Securities Exchange Act of 1934, against … 404, 48 Stat. Securities and Exchange Commission. In 1968, the Williams Act amended the Securities Exchange Act of 1934, as amended (the “Exchange Act”), enacting new provisions and rules related to tender offers. With this Act, Congress created the Securities and Exchange Commission. PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): April 19, 2021 GENESIS ENERGY, L.P. (Exact name of registrant as specified in its charter) Delaware 1-12295 76-0513049 (State or other jurisdiction of incorporation or organization) (Commission File Number) (I.R.S. Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) April 22, 2020 AT&T INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-8610 43-1301883 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.) §78m] § 13. To plug this hole, Congress passed the Securities Exchange Act of 1934, which established the Securities and Exchange Commission (SEC) to implement the 1933 Act. A public company with a class of securities registered under either Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file reports with the SEC (“Reporting Requirements”).The underlying basis of the Reporting Requirements is to keep shareholders and the markets informed on a regular basis in a … 2. CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Sec. For complete classification of this Act to the Code, see section 78a of this title and Tables. 77a et seq.] . The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub.L. Sec.

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