[B.C. Section 31 imposes no obligations on broker-dealers or their customers. Defence to prosecution 33. Section 31 imposes no obligations on broker-dealers or their customers. THE SECURITIES ACT REGULATIONS (under section 76) THE SECURITIES (LICENSING AND REGISTRATION) REGULATIONS, 1996 (Made by the Securities Commission and approved by the Minister L.N. To achieve the object of the commission, the commission shall: Advise the Minister on matters relating to the securities industry. Particulars of financial journalists 35. PART IV - ISSUES OF SECURITIES AND TAKE-OVERS AND MERGERS DIVISION 2 - TAKE-OVERS, MERGERS AND COMPULSORY ACQUISITIONS. Note 4 at the end of this reprint provides a list of the amendments incorporated. EU rules on the information that must be provided by companies that want to attract investors, raise capital and finance their growth. http://www.sec.gov/rules/final/34-49928.htm. Securities [No. The charges on most securities transactions are known as Section 31 "fees." It reports to the Minister of Finance and its accounts are tabled in Parliament annually. The charges on most securities transactions are known as Section 31 "fees." These Regulations may be cited as the Securities (Licensing and Registration) Regulations, 1996. SECURITIES COMMISSION ACT 1993. STAY CONNECTED The securities industry in Ghana is governed by the Securities Industry Act, 2016 (Act 929). Government Securities Act Amendments (GSAA) of 1993: The GSAA, (download PDF format, file size, 161K, uploaded date, 12/4/03) among other things, permanently reauthorized Treasury's rulemaking authority under the Government Securities Act and included provisions for establishing Treasury's large position reporting and recordkeeping rules. With this Act, Congress created the Securities and Exchange Commission. The Securities and Exchange Commission of Pakistan is a regulator established with the objective of developing a modern and efficient corporate sector, insurance, NBFCs and capital markets . Electronic filing of books 2F. An act to make provisions relating to the securities industry, to provide for the establishment of a Securities Commission and for connected matters. Changes authorised by subpart 2 of Part 2 of the Legislation Act 2012 have been made in this official reprint. Functions. We receive numerous inquiries from trading desks, back office operations, and computer programmers at individual firms concerning fee rates and whether the trade or settlement date would apply for certain types of transactions. The Securities and Exchange Commission An independent federal regulatory agency whose primary task is to investigate complaints or other possible violations of the law in securities transactions and to bring enforcement proceedings when it believes that violations have occurred. Interpretation 3. (Deleted) 39B. Exemption 5. The U.S. Securities and Exchange Commission (SEC) is a large independent agency of the United States federal government that was created following the stock market crash in the 1920s to protect investors and the national banking system. Power of Commission to specify form and manner of keeping or maintaining books You'll also find Fee Rate Advisories in the Press Releases section of our website. Date of assent 10 August 1993. The Securities Act of 1933 is governed by the Securities and Exchange Commission, which was created a year later by the Securities Exchange Act of 1934. 5 Flickr 6LinkedIn 7 Pinterest 8 Email Updates, Other Commission Orders, Notices, and Information. 1 April 2010 [ P.U. Although such fees are frequently referred to by broker-dealers as "SEC fees" or "Section 31 fees," these labels are not accurate. But if transaction volume falls, each transaction will have to be charged a higher fee in order for the SEC to collect the target amount. Finance and Banking. Instead, under Section 31 of the Securities Exchange Act of 1934, self-regulatory organizations (SROs) -- such as the Financial Industry Regulatory Authority (FINRA) and all of the national securities exchanges -- must pay transaction fees to the SEC based on the volume of securities that are sold on their markets. 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