U.S. Securities and Exchange Commission

Federal, Öppna den officiella texten

U.S. Securities and Exchange Commission (SEC) har tillsyn över 2 regler i registret. Jurisdiktion: Federal.

• U.S. Securities and Exchange Commission (SEC) står angiven i SEC Climate-Related Disclosures och SEC Rule 17a-4 och FINRA:s tillsynsregler.
• Sidorna under U.S. Securities and Exchange Commission (SEC) visar texten och datumen som de är publicerade. Utfall i tillsynsärenden läses inte in i registret.
• Tillsyn: U.S. Securities and Exchange Commission (SEC). Texten publiceras av U.S. Securities and Exchange Commission, Electronic Code of Federal Regulations och Financial Industry Regulatory Authority.
• Texten pekar ut finansiella tjänster, energi, teknik, industri och tillverkning och handel och konsument.

• US regulatory register
• SEC Climate-Related Disclosures
• SEC Rule 17a-4 och FINRA:s tillsynsregler

2 regler

• SEC Climate-Related Disclosures, Release No. 33-11275, 17 CFR Parts 210, 229, 232, 239 and 249
• SEC Rule 17a-4 och FINRA:s tillsynsregler, 17 CFR § 240.17a-4, FINRA Rules 3110 and 4511

Officiella källor

• The Enhancement and Standardization of Climate-Related Disclosures for Investors, Release No. 33-11275, U.S. Securities and Exchange Commission
• Order Issuing Stay, Release No. 33-11280, U.S. Securities and Exchange Commission
• 17 CFR § 240.17a-4, Records to be preserved by certain exchange members, brokers and dealers, Electronic Code of Federal Regulations
• FINRA rulebook, Financial Industry Regulatory Authority

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