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Regulation M Filings. The SEC's Regulation M is designed to prevent manipulation by individuals with an interest in the outcome of an offering, and prohibits activities and conduct that could artificially influence the market for an offered security.
Date: October 27, 1999. Summary: This staff legal bulletin sets forth the views of the Division of Trading and Markets in response to questions raised about various provisions of Regulation M. Supplementary Information: The statements in this legal bulletin represent the views of the staff of the Division of Trading and Markets.
SEC Filing Calendar 2024 deadlines for various forms - 10K, 10Q, 12b-25, D, SC13D, SC13G, 13H, Reg A, Section 16 and more.
2 Ιουλ 2024 · Search Filings. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
SEC Effective Date and Time – The date and time that the SEC declared the offering effective. Trade Date – The first trade date that the shares from the offering are available for trading in the aftermarket.
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M).
2024 SEC Filing Deadlines. The calendar below reflects SEC filing deadlines for companies with a fiscal year ending December 31, 2023. For weekends and SEC holidays, the filing deadline is the next business day.
