Business Law
| Federal Regulation of Corporate Takeover Bids or Tender Offers |
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| Traditionally, proxies of shareholders of corporate takeover targets were sought for votes in favor of the takeover. Rules issued by the Securities and Exchange Commission to regulate the content of proxies so that shareholders were able to make an informed decision provided some protection for shareholders. More... |
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| Mergers |
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| Disclosure and Shareholder Approval Requirements for Stock Options During Mergers More... |
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| Investment Adviser Reporting Requirements |
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| Investment advisers must file Form ADV with the Securities and Exchange Commission or with state offices for regulating securities. Investment advisers who manage $25 million or more in client assets must file the form and register with the Securities and Exchange Commission. Advisers managing smaller amounts of assets must file Form ADV with state securities regulators. More... |
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| Business & Corporate Entities> Corporations> Directors & Officers> Compensation & Qualifications |
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| (The Compensation Committee of Independent Directors for More... |
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| Exchange-Traded Funds |
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| Exchange-traded funds are open-ended registered investment companies regulated by the Securities and Exchange Commission under the Investment Company Act of 1940. The Securities and Exchange Commission has exempted exchange-traded funds from regulatory requirements in order to allow secondary trading on national exchanges of shares in exchange-traded funds. More... |
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