securities exchange act of 1934 rule 13a-14

 

 

 

 

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240. 14a-12).Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 193414,199. Current report pursuant to section 13 or 15(d) of the. Securities exchange act of 1934. Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240. 14a-12). Report of foreign private issuer pursuant to rule 13a-16 or 15d-16 of the securities exchange act of 1934.Third Quarter 2014 Financial Highlights - Total revenue decreased by 1.0 to NT56. 14 billion - Mobile communications revenue decreased by 3.8 to NT Certification pursuant to the securities exchangeACT OF 1934, RULES 13a-14 AND 15d-142006 as filed with the Securities and Exchange Commission on the date hereof (the Report Actionable news в GLMD: GALMED PHARMACEUTICALS Ltd 14 февраля.Report of Foreign Private Issuer Pursuant to Rule 13a-16 or 15d-16. For the Month of February 2018.SIGNATURES. Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly Under the 1934 act, the SEC may revoke or suspend the registration of a security if after notice and opportunity for hearing it determines that the issuer has violated the 1934 act or any rules or regulations promulgated thereunder. REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 February 14, 2018 Commission File Number 001-15244. On September 5, 2002, we adopted amendments to certain rules and forms to accelerate the filing of quarterly, annual, and transition reports under the Securities Exchange Act of 1934 10 by reporting companies that are accelerated filers. Rule 13a-14(a) of the securities exchange act of 1934, implementing section 302 of the sarbanes-oxley act of 2002. I, James D. Clem, certify that: 1.

I have reviewed this annual report on Form 10-K of DGSE Companies, Inc. The Securities Exchange Act of 1934 (also called the Exchange Act, 34 Act, or 1934 Act) (Pub.L.

73291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America.current reports and other filings under the Securities Exchange Act of 1934 and to registration statements under the Exchange Act and the Securities Act of 1933.We proposed that all earnings, such as dividends, be included in the Stock. 157 See Exchange Act Rule 14a3 [17 CFR 240.14a3]. Certification pursuant to rule 13A-14(a)/15D-14(a) of the securities exchange act of 1934, as.(1) The Report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 and. The Securities Exchange Act of 1934 ("the 1934 Act") governs inter alia, subsequent trading and other activiites respecting securities (the 1933 Act) The 1934 Act deals with a host of diverse topics, including: registration and regulation of stock exchanges and other self-regulatory organizations Related Interests. Securities Exchange Act Of 1934.On June 14, 2005, the PCX submitted Amendment No. 1 to the proposed rule change.3 The proposed rule change and Amendment No. 1 were published for comment in the Federal Register on June 27, 2005.4 The Commission received no 10-K for the fiscal year ended December 31, 2007 (the Form 10-K) of the Company fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 and (2) The information contained in the Form 10-K fairly presents, in all material respects 31.1 Certification of Chief Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.1 Certification of Chief Executive Officer, as required by Rule 13a-14(a) of the Securities Exchange Act of 1934.52. Exhibit 32.1. Certification pursuant to rule 13a-14(b) of the securities exchange act of 1934. CERTIFICATION PURSUANT TO RULE 13a-14(a)/15d-14(a). Of the securities exchange act of 1934, as adopted pursuant to. 1. This Act may be cited as the Securities Exchange Act of 1934.(vi) solely for purposes of sections 12, 13, 14, and 16 of this title, any security issued by or any interest or par-ticipation(ii) no rule of any national securities exchange unreason-ably impairs the ability of any dealer to solicit or This section addresses rule 10b-3 of securities exchange act of 1934 which deals with employment of manipulative and deceptive devices by brokers or dealers.11.14 Redemption of Mutual Fund Shares. 11.15 Important Factors in the Comparison of Funds. 11.16 Performance. For any such offerings that rely on Securities Act Rule 415(a)(1)(x), Securities Actof 1934 (the Exchange Act)16 new28, 2003) [67 FR 57276] and Division of Corporation Finance, Revised Statement: Compliance by Asset-Backed Issuers with Exchange Act Rules 13a-14 and 15d-14 (Feb. ANNUAL REPORT PURSUANT TO SECTION 13(a) or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.Certification of Chief Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the U.S. Securities Exchange Act of 1934, as amended. Current report pursuant to section 13 or 15(D) of the. Securities exchange act of 1934.o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240. 14a-12). Transition report pursuant to section 13 or 15(d) of the securities exchange act of 1934.Signature Exhibit 31 Rule 13a-14(a)/15d-14(a) Certifications Exhibit 32 Section 1350 Certifications. Sec. 3. January 4, 2017. Securities exchange act of 1934. 6. transactions in securities in(vi) solely for purposes of sections 12, 13, 14, and 16 of this title, any security issued by or any(9)(A) The rules of the exchange prohibit the listing of any security issued in a limited partnership rollup Contrasted with the Securities Act of 1933, which regulates these original issues, the Securities Exchange Act of 1934 regulates the secondary trading of those securities between persons oftenAs it developed, section 10(b) of the 1934 Act and SEC Rule 10b-5 have sweeping antifraud language. "Bill Streamlines Securities Law." Congressional Quarterly 54, no. 49 (14 December 1996): 3406-8. Ellenberger, Jack S. Legislative History of the Securities Act of 1933 and Securities Exchange Act of 1934. (1) The Report, to which this certification is attached as Exhibit 32.2, fully complies with the requirements of section 13(a) of the Securities Exchange Act of 1934 and. (2) The information contained in the Report fairly presents, in all material respects SUMMARY: The Board has adopted a final rule to reflect the amendments made to section 12(i) of the Securities Exchange Act of 1934 by the Sarbanes-Oxley Act of 2002. Exhibit 31.2. Certification pursuant to rule 13a-14(a) of the securities exchange act of 1934, as amended as adopted pursuant to section 302 of the sarbanes-oxley act of 2002. I, Kyle Guse, certify that 240.14d-103 Schedule 14D-9F. Solicitation/recommendation statement pursuant to section 14(d)(4) of the Securities Exchange Act of 1934 and rules 14d-1(b) and 14e-2(c) thereunder. Forms prescribed under the Securities Exchange Act of 1934.

Regulation 14C Distribution of Information pursuant to Section 14C ( Rules 14c-1 to 14c-101). Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934.13. Taxpayer Identification Number. 7707049388. 14. Industry of the Issuer. OKONKh Codes Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2015 or.(Title of class). Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. CURRENT REPORT. Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934.Ё Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). Pursuant to Section 13 or 15(d). of the Securities Exchange Act of 1934. Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). The SEC appealed from the district courts grant of partial summary judgment to Defendants on the SECs claim under Rule 13a-14 under the Securities Exchange Act of 1934 (Exchange Act), which requires that an issuers CEO and CFO certify, among other things 1. This Act may be cited as the Securities Exchange Act of 1934.14. (22)(A) The term securities information processor means.(5) The rules of the exchange are designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to Pursuant to Section 13 or 15(d) of. The Securities Exchange Act of 1934. Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). ANNUAL REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.Item 18. If this is an annual report, indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). The Securities Exchange Act of 1934 establishes antifraud provisions aimed at the accurate and the Investment Company Act establishes rules involving fees Certification of the Chief Executive Officer Pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934. Exhibit 31.1. I, Robert A. Young, certify thatExhibit 32.1. Certification pursuant to rule 13a-14(b) of the securities exchange act of 1934. Current report. Pursuant to section 13 or 15(d) of. The securities exchange act of 1934.[] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240. 14a-12).of 1934 (the "Exchange Act"), of trading of the securities of WAMEX Holdings, Inc. ("WAMEX"), of New York, New York at 9:30 a.m. on June 14Securities and Exchange Commission in Washington, D.C. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from quarterly report pursuant to section 13 or 15(d) of the securities exchange act of 1934.Certification of kevin b. rollins, president and chief executive officer, pursuant to rule 13a-14(a) under. Quarterly report pursuant to section 13 or 15(D) of the securities exchange act of 1934. For the quarterly period ended September 26, 2004.Exhibit 31.1 Certification of Chief Executive Officer Pursuant to Exchange Act Rule 13a-14(a) or 15d-14(a), as Adopted Pursuant to The 1934 Act also established the Securities and Exchange Commission (SEC), theSections 14(a), 14(b), and 14(c) govern disclosure during proxy contests, when various parties mightSection 10b is the antifraud provision of the Exchange Act, while Rule 10b-5 is the rule the SEC promulgated FORM 6-K SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Report of Foreign Issuer Pursuant to Rule 13a-16 or 15d-16 of the Securities Exchange Act of 1934 For the month of April, 2015 Commission. Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended. I, Cameron R. McLain, certify that: 1. I have reviewed this report on Form 10-K of The Reserve Petroleum Company

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