answersLogoWhite

0

All registered Broker /Dealers are supposed to file FOCUS report with SEC annually. You can possibly browse www.sec.gov site , look for the list of FOCUS Reports filed to find the filers' names

User Avatar

Wiki User

17y ago

What else can I help you with?

Continue Learning about Movies & Television

Is alchemist township India ltd is registered under sebi?

As of my last knowledge update in October 2023, Alchemist Township India Ltd. was not registered under the Securities and Exchange Board of India (SEBI). SEBI primarily regulates the securities market in India, and companies engaged in activities related to securities must comply with its regulations. For the most current status, it is advisable to check the official SEBI website or relevant financial regulatory sources.


Is basil international limited company registered under security exchange board of India?

Yes, basil international limited company registered under security exchange board of india.


What is section 259 of the Canada criminal code act?

Section 259 of the Criminal Code of Canada establishes mandatory prohibition periods for crimes that relate to the operation of (or assisting the operation of) a motor vehicle, vessel, or aircraft. Generally, a prohibition period is when an individual is prevented from operating something for a specific time. Under this part of the code, the absolute minimum period of prohibition would be 3 months so long as the individual registered under the alcohol ignition interlock device program. However, for longer periods the section indicates one can operate a vehicle while registered under the alcohol ignition interlock device program. Finally, under the Corrections and Conditional Release Act (s.109), the Parole Board of Canada my cancel or vary an unexpired portion of a prohibition order on written application.


BCCI is registered under the Societies Registration Act of which Indian state?

Mumbai


How do you register your church in India?

Churches in India are registered with the Ministry Department. A church must have a governing body and sufficient funds to become officially registered.

Related Questions

Which provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 deal with secondary liability both as a control person and or aider and abettor?

Secondary liability is covered under Section 10(b) of the Securitis Act of 1933 and the Securities Exchange Act of 1934, where it is determined both as a control person and/or an aider and abettor.


Is basil international limited company registered under security exchange board of India?

Yes, basil international limited company registered under security exchange board of india.


Is basil international limited company is registered under security exchange board of India?

Yes, basil international limited company registered under security exchange board of india.


When do you file a SEC Form 10 versus a Form S-1?

A Form 10 is used to register a general class of securities under Section 12(b) or (g) of the Securities Exchange Act of 1934. The Form S-1, on the other hand, is used to register their securities under the Securities Act of 1933, i.e., an IPO. One may think of a Form S-1 as a prospectus that potential investors use to consider investing in the company.


Differences between the Securities Act of 1933 and the Securities Exchange Act of 1934?

1933 Act applies to original issue of securities (initial public offering) where the 1934 Act applies to secondary trading. Most securities litigation concerns actions under the 1934 Act.


What is the goal of the SEC?

The SEC was organized under the Securities Exchange Act of 1934 to create fair market conditions in the securities markets by setting standards for and requirements of information from the issuer of the security to the general public.


Is a deed of trust on a residence considered a security for the purpose of the Securities Act of 1933?

Probably. The act included all securities that were purchased by means of interstate commerce. This meant all securities purchased by mail or over the phone had to be registered under the act.


What are the tax benefits for registered startups?

Registered startups can avail of income tax exemptions for a specified number of years under Section 80IAC of the Income Tax Act.


Why Form 424A in SEC is issued?

: The prospectus form that a company must file to disclose information referred to in forms 424B1 and 424B3. Companies are required to file prospectus form 424B4 in accordance with Rule 424 of the Securities Exchange Act of 1933. The Securities Exchange Act of 1933 was created to help investors make informed decisions by requiring securities issuers to complete and file registration statements (including financial and material information) with the SEC before making an issue available for purchase by the public. Often registration statements filings required under the Securities Exchange Act of 1933 are also registration statements under the Investment Company Act of 1940.


Where is the trade section on howrse?

Breeding → Store → Exchange Items. It is a square button under the description of the store.


What is the stock market regulated by?

Indian Stocks market is regulated by SEBI (Securities & Exchange Board Of India) The Securities and Exchange Board of India is the regulatory body for securities and commodity market in India under the ownership of Ministry of Finance, Government of India. It was established on 12 April 1988 as an executive body and was given statutory powers on 30 January 1992 through the SEBI Act, 1992.


What is the difference between S-8 Filing and 8-K filing?

according to definitions on secdatabase.com, here is difference:Form S-8 is the Registration Statement under the Securities Exchange Act of 1933. It is used by a publically traded company to register securities that will be offered to its employees via benefit or incentive plans.Form 8-K is the report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or the Securities and Exchange Commission.