SEC Regulation SX yog dab tsi?
SEC Regulation SX yog dab tsi?

Video: SEC Regulation SX yog dab tsi?

Video: SEC Regulation SX yog dab tsi?
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Kev cai S-X yog US Securities thiab Exchange Commission txoj cai uas suav nrog cov ntawv tshaj tawm txhua xyoo los ntawm cov tuam txhab. Kev cai S-X yog ze ze rau Txoj Cai S-K , uas lays tawm kev qhia yuav tsum tau rau ntau yam SEC cov ntaub ntawv thiab cov ntawv sau npe siv los ntawm cov tuam txhab pej xeem.

Ib yam li ntawd, SEC Regulation SK yog dab tsi?

Txoj Cai S-K yog ib tug kws kho mob kev cai raws li US Securities Act of 1933 uas nteg tawm cov kev cai qhia rau ntau yam SEC cov ntaub ntawv siv los ntawm cov tuam txhab pej xeem.

Tsis tas li ntawd, qhov txawv ntawm Regulation SK thiab Regulation SX yog dab tsi? Txoj Cai S-K tsim kev tshaj tawm cov kev cai rau cov tuam txhab me dua li qhov loj me whereas Kev cai S-X yog qhia rau cov tuam txhab loj tshaj qhov loj. Txoj Cai S-K tsim kev tshaj tawm cov cai rau cov tuam txhab tuav pov hwm thaum Kev cai S-X yog qhia rau cov tuam txhab ntiag tug.

Ntawm no, SEC cov cai yog dab tsi?

Cov SEC tuav lub luag haujlwm tseem ceeb rau kev tswj hwm tsoomfwv txoj cai lij choj kev nyab xeeb, tshaj tawm cov cai tswj hwm kev nyab xeeb, thiab tswj hwm kev lag luam kev nyab xeeb, uas yog lub teb chaws cov khoom lag luam thiab cov kev xaiv pauv, thiab lwm yam dej num thiab cov koom haum, suav nrog cov khw muag khoom hluav taws xob hauv Tebchaws Meskas.

Lub tuam txhab tshaj tawm SEC yog dab tsi?

Kuj hu ua kev tshaj tawm issuer thiab pej xeem tuam txhab . A tuam txhab raws li Tshooj 13 lossis 15(d) ntawm Txoj Cai Sib Pauv yog a qhia lub tuam txhab . Feem ntau, thaum a tuam txhab mus rau pej xeem, nws kuj teev nws cov kev nyab xeeb rau kev lag luam ntawm "kev sib pauv kev nyab xeeb hauv tebchaws" (raws li txhais los ntawm SEC ) xws li NYSE lossis Nasdaq.

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