Other Applications - Securities and Exchange Commission

1. Articles of Merger/Consolidation: 2. Plan of Merger/Consolidation: 3. List of stockholders/members of record of the constituent corporations indicating their nationalities and respective subscribed and paid-up capital/contribution as of date of the meeting approving the merger/consolidation certified under oath by the Corporate Secretary

Secondary License - Securities and Exchange Commission

SEC Form 12-1(A) Issuer of Securities/Mutual Fund Companies/Public Companies: SRC Rule 14: SEC Form 28.1-1 BOR: Broker Dealer including Branch Office


The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant will file a further amendment which specifically states that this Registration Statement will thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933, as amended, or until the Registration Statement will become.

10-K 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 (Exchange Act) 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.Chapter 1707: SECURITIES - Ohio Laws and Rules Chapter 1707: SECURITIES. 1707.01 Securities definitions. As used in this chapter: (A) Whenever the context requires it, "division" or "division of securities" may be read as "director of commerce" or as "commissioner of securities."Overview - Canadian Securities Administrators Overview. Investigation and enforcement are core CSA responsibilities. By identifying violations of securities laws or conduct in the capital markets that is contrary to the public interest, and by imposing appropriate sanctions, the CSA deters wrongdoing, protects investors, and fosters fair and efficient capital markets in which investors can have confidence.Rules Pursuant to the Delaware Securities Act 100 General Statement and Statutory Authority. The Investor Protection Unit (hereinafter, the “Unit”) was created in 1973 with the passage of the Delaware Securities Act (hereinafter, the “Act”), which is found at Chapter 73 of Title 6 of the Delaware Act is administered by the Attorney General through a Deputy Attorney General designated to act as Investor Protection Director.CSAEnforcementInvestor Alerts Here, you can consult CSA member investor alerts. The list is intended to assist the public and the securities industry in conducting due diligence.

Create a Stock Certificate TemplateLegal Templates

Apr 09, 2019 · A Stock Certificate is a legal document that proves and records ownership of a certain number of shares or stocks in a corporation.

  • Terms starting with S
  • InvestorWords - The Most Comprehensive Investing Glossary on the Web! Over 18000 financial and investing definitions, with links between related terms.

    Corporate Stock Share Certificate TemplateRocket Lawyer

    A share certificate is a legal document that confirms ownership of corporate stock and you are legally obligated to supply one to your investors if they request it. You can easily create your own with our blank stock certificate template.

    Lawriter - ORC

    Chapter 135: UNIFORM DEPOSITORY ACT. 135.01 Uniform depositary act definitions. Except as otherwise provided in sections 135.14, 135.143, 135.181, and 135.182 of the Revised Code, as used in sections 135.01 to 135.21 of the Revised Code: (A) "Active deposit" means a public deposit necessary to meet current demands on the treasury, and that is deposited in any of the following.

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